Das Compliance and MLRO Refresher Programm Schulung

Haupt-Reiter

Schulungsprache

Dieser Kurs wird auf Deutsch und Englisch angeboten

Kurs Code

compmlro

Dauer

7 Stunden (usually 1 day including breaks)

Voraussetzungen

Überblick

The Compliance and MLRO Refresher Programme examines the key risk management issues and topics that are of vital importance in today’s highly-regulated environment. As well as being targeted at Compliance Officers, MLROs, MLCOs and other risk management professionals it is also aimed at members of senior management and board members keen to know more about what to expect from the risk control functions within their organisations. The Programme is lectured by subject-matter-expert from the UK.

The key learning objective of the Programme is to equip attendees with sufficient knowledge to assess objectively the adequacy of their organisation’s existing risk management controls and practices and to make appropriate enhancements.

Schulungsübersicht

Identifying and Evaluating Key Risks

  • Analysing the role of the Compliance Officer, the MLRO, the MLCO, Internal Audit and the Board
  • What makes an effective Compliance Officer?
  • Accountability of the Compliance Officer
  • Interdependencies with other control functions
  • Primary, secondary and on-demand compliance
  • The Compliance Officer’s Activities – and the support required

Designing and Implementing an Effective Compliance Framework including a Monitoring Programme

  • Analysing legal and regulatory rules
  • Identifying risks
  • Designing control and procedures
  • Generating management information
  • Creating an effective compliance culture
  • Monitoring

Compliance and Corporate Governance

  • Concepts in Corporate Governance and how these help manage risk
  • Whistle blowing
  • Role of the director
  • Creating an effective board
  • Differentiating the roles of the executive and non executive director
  • Creating and effectively utilising Corporate Governance committees e.g. Audit, Remuneration
  • Financial reporting and Corporate Governance
  • The Turnbull Report and effective risk management

The Latest Local and International Regulatory Issues Surrounding Compliance and Financial Crime Prevention

  • Issues in Compliance
  • Issues in Anti-Money Laundering (AML) and Combating Terrorist Financing (CTF)
  • Issues in Fraud
  • Issues in Identity Theft
  • Issues in Phishing

Managing the Risk of Money Laundering

  • Offshore Issues, PEPs and EPs
  • Know Your Client (KYC) and Identification & Verification (ID&V)
  • A Risk-Management Approach
  • Case studies

Other Regulatory Risks

  • Information Security and Data Protection
  • Market Abuse and Insider Dealing
  • Bribery and Corruption
  • Sanctions
  • …and other types and Risks in on-shore and off-shore Banking

Human Factors in Risk Management

  • Understanding the importance of human error in procedures-driven environments
  • Common human factor problems
    • Steep authority gradients
    • Reliance vacuums
    • Dominant individuals
  • Identifying and addressing human factor issues
  • Developing an effective compliance culture

Criminal Abuse of Private Banking Services, Trusts and Corporate Services companies

  • Offshore companies and corporate services analysed
  • Offshore trusts and trustee services analysed
  • The criticality of fiduciary duty
  • Understanding commercial rationale
  • AML trust and company vulnerabilities
  • Examples of abuse
  • Case studies

Öffentlicher Klassenraum Öffentlicher Klassenraum
Teilnehmer aus verschiedenen Organisationen. Die Themen können hier nicht angepasst werden.
Von 1230EUR
(7)
Privater Klassenraum Privater Klassenraum
Die Teilnehmer sind aus einem Unternehmen. Externe Teilnehmer sind nicht erlaubt. Der Kurs ist speziell auf eine Gruppe zugeschnitten, Die Themen werden genau auf die Bedürfnisse der Teilnehmer abgestimmt.
Von 1230EUR
Angebot erfragen
Privater Fernkurs Privater Fernkurs
Der Anleiter und die Teilnehmer befinden sich an unterschiedlichen Orten und kommunizieren über das Internet miteinander.
Von 990EUR
Angebot erfragen

Je mehr Teilnehmer, desto höher die Ersparnis pro Teilnehmer. Die Tabelle reflektiert den Preis pro Teilnehmer und dient zur Veranschaulichung. Die tatsächlichen Preise können jedoch abweichen.

Number of Delegates Öffentlicher Klassenraum Privater Klassenraum Privater Fernkurs
1 1230EUR 1230EUR 990EUR
2 845EUR 820EUR 700EUR
3 717EUR 683EUR 603EUR
4 653EUR 615EUR 555EUR
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Verwandte Kategorien


Spezialangebote

Kommende Kurse

OrtSchulungsdatumKurspreis (Fernkurs/Schulungsraum)
ZürichMi, 2016-09-28 09:30990EUR / 1340EUR
BernDo, 2016-10-20 09:30990EUR / 1340EUR
BaselMi, 2016-10-26 09:30990EUR / 1340EUR

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