ΠΕΡΙΓΡΑΦΗ

The seminar focuses on the proper preparation of the compliance monitoring programme as per regulatory requirements.

The seminar will provide practical assistance on how to detect and record any risk of failure and evaluation and for ensuring that the company’s operations are in accordance with its obligations under relevant legislations.

ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ

By the end of the programme, participants will be able to:

• Apply regulatory requirements, with regards to the compliance function, in practice
• Perform proper risk assessment and risk-based approach
• Detect and assess the level of compliance risks the Company faces
• Establish priorities determined by the compliance risk assessment

ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ

• Compliance officers
• Internal Audit
• Risk Managers

ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ

Training Style

The course clarifies the regulatory requirements regarding the establishment and maintenance of the compliance risk assessment and monitoring programme as well as duties and responsibilities of the compliance function.

CPD Recognition

This programme may be approved for up to 5 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

Professionals requiring CPD units to meet the education requirements for CySEC licence renewal, and/or for maintaining other professional memberships/certifications which accept CPD in Financial Regulation, are advised to consider training subjects in categories that indicate CPD training in Financial Regulation.

Trainer

Marek Bota

Is a professional with many years’ experience and established career in the financial sector. He has held down a variety of positions in a number of Cyprus Investment Firms. These positions, which include Executive Director, Compliance Officer and Head of Reception and Transition of Orders – which put him in front of clients’ needs – all gave him the tools and skills needed to gain a widespread insight into the field.

During his long-standing career, he has expanded his knowledge about the Cypriot and European Legal, Regulatory and Compliance requirements on capital markets. Marek holds a BA in Management and Economics of Aero Tourism and he is currently perusing an LLM (Master in Law) at the Cardiff University. He has also obtained the CISI Financial Services Legal Framework certificate, as well as, the CISI Financial Services Regulatory Framework certificate and an associate of Chartered Institute of Securities and Investments.