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Course Outline
The course will cover the following areas:
- Recent changes to the legal and regulatory environment
- Re-evaluating the role of the Compliance Officer
- Analysing the relationship between the Compliance Officer and senior management
- Compliance and effective corporate governance
- Risk mapping
- Motivating and promoting compliance internally
- The dangers of over-reliance on procedures solutions
- Recent disasters within the finance industry
- Forthcoming changes to the legal and regulatory environment and how to cope with them
- Case studies and group exercises
Course Objectives
This highly practical one-day workshop is designed to refresh and enhance the level of awareness of Compliance Officers and professionals.
Target Audience / Entry Requirements
The course is aimed at the following individuals across all finance industry sectors: Compliance Officers and Assistants, principal persons with responsibility for compliance and ML prevention.
Provider: Forward Training
Course Dates:
12/10/2010
Course Length: 1 Day
Location: GTA University Centre
Tutor: Jo French
Course Fee: £245.00
CPD Points: 6
ICA International Certificated Compliance Awareness Training
Course Objectives
The International Certificated Financial Compliance Awareness Training is a new professional qualification awarded in association with the University of Manchester Business School.
The structure of the course has been designed to allow for maximum flexibility and to accommodate the demands of career, study and family.
Next Course Dates: 17/09/2010 (more dates available)
Full course details >>
Compliance in Fund Administration
Course Objectives
This is a very proactive one day programme regarding understanding the critical importance of effective compliance going forward.
Being able to demonstrate and maintain professional management of a fund's operation and operational risk is crucially important in giving investors comfort and confidence. This course addresses the practicality of having an effective compliance process and how this can be achieved.
Next Course Dates: TBA