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international compliance training

international compliance training Course Content

What is Compliance
  • What is Compliance Risk?
  • What are the activities of the Compliance Department?
Corporate Governance & Ethics
  • The importance of strong corporate governance
  • Key elements of a corporate governance regime
  • Why do the Ethics matter?
  • Role of Compliance Department in Corporate Governance & Ethics
Effective Control Structure
  • Essential elements of a robust organisational structure
  • Risk management
  • Management information
  • Control functions  Compliance & Internal Audit
  • Staff, agents & outsourcing
  • Business continuity
Conduct of Business Rules
  • Core COB rules
  • Additional rules for the Investment businesses
  • Additional rules for the Insurance businesses
Conflicts of Interest
  • Definition and Typology
  • Corporate Conflict
  • Personal Conflicts
  • Gifts & Inducements
  • Chinese Walls & other controls
  • Market Abuse & Insider Dealing
Role of Compliance Function
  • Key attributes of a Compliance Officer
  • Compliance advisory function
  • Compliance training & education
  • Compliance Monitoring
  • Compliance manuals & documentation