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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
