Compliance and the Management of Compliance Risk Training Course

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Duration Duration

21 hours (usually 3 days including breaks)

Overview Overview

Audiance

All staff who need a working knowledge of Compliance and the Management of Risk

Format of the course

A combination of:

  • Facilitated Discussions
  • Slide Presentations
  • Case Studies
  • Examples

Course Objectives

By the end of this course, delegates will be able to:

  • Understand the major facets of Compliance and the national and international efforts being made to manage the risk related to it
  • Define the ways in which a company and its staff might set up a Compliance Risk Management Framework
  • Detail the roles of Compliance Officer and Money Laundering Reporting Officer and how they should be integrated into a business
  • Understand some of the other “hot spots” in Financial Crime – especially as they relate to International Business, Offshore Centres and High-Net-Worth Clients

Course Outline Course Outline

The basics of Compliance and the Management of Compliance Risk

  • Understanding Compliance and the Risk associated with it
    • What are important areas in 2012?
    • Who are the Compliance Officers’ and Money Laundering Reporting Officers’ Stakeholders?
    • Understanding and mitigating the risks of non-compliance

Creating and Managing a Compliance Risk Management Framework

  • Understanding a Risk-Management Approach
  • The impact on the business – positively and negatively – of creating a Risk-Management Approach

Compliance and Corporate Governance

  • What is Corporate Governance?
  • How does it interact with Compliance?
  • Who are the Stakeholders?
  • Corporate Governance principles
  • Management Committees
  • Codes and Guidelines
  • Corporate Governance and Financial Crime Prevention

Compliance Controls and Checks

  • What do the Regulators expect?
  • Creating a Compliance Monitoring Programme

Other Financial Crime considerations

  • Money Laundering and Terrorist Financing – a fresh look
  • Fraud
  • Data Protection and Information Security
    • Personal and Sensitive Information
    • Data Protection Policies
  • Bribery and Corruption
    • UK Bribery Act 2010
    • USA Foreign & Corrupt Practices Act
    • Other areas for consideration
  • Market Abuse and Insider Dealing
  • Sanctions

Financial Crime in International Business, in Offshore Centres and with High-Net-Worth Clients

  • Why do financial criminals target International Business, Offshore Centres and High-Net-
  • Worth clients?
  • What are the major risks in undertaking this business?

The Future

  • Where are today’s Compliance and its Risk Management hotspots…?

Bookings, Prices and Enquiries

Guaranteed to run even with a single delegate!
Public Classroom Public Classroom
From 3297PLN
(69)
Public Classroom
Participants from multiple organisations. Topics usually cannot be customised
Private Classroom
Participants are from one organisation only. No external participants are allowed. Usually customised to a specific group, course topics are agreed between the client and the trainer.
Private Remote
The instructor and the participants are in two different physical locations and communicate via the Internet. More Information

The more delegates, the greater the savings per delegate. Table reflects price per delegate and is used for illustration purposes only, actual prices may differ.

Number of Delegates Public Classroom Private Remote
1 3297PLN 8900PLN
2 2549PLN 5350PLN
3 2299PLN 4167PLN
4 2174PLN 3575PLN
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Zakopane ul. Jagiellońska 30 Tue, 2017-06-13 09:008900PLN / 3747PLN
Bielsko-Biała, Al. Armii Krajowej 220Tue, 2017-06-13 09:008900PLN / 3747PLN
Białystok, ul. Malmeda 1Tue, 2017-06-20 09:008900PLN / 3747PLN
Kraków, ul. Rzemieślnicza 1Wed, 2017-06-21 09:008900PLN / 3897PLN
Kielce, ul. Warszawska 19Mon, 2017-06-26 09:008900PLN / 3297PLN

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