Ελληνικά 
English
Internal & External Audits for Investment Firms – Turning Findings into Action
- Χρηματοοικ. Ασφαλιστικά Τραπεζικά - Λογιστικά/ Έλεγχος/ Φορολογικά
12 Νοε 2026 09:00
13 Νοε 2026 11:45
OnLine Virtual Classroom
Αγγλικά
5 ώρες
(
2 μέρες
)
Παναγιώτης Νικολάου
ΠΕΡΙΓΡΑΦΗ
This programme is designed for European Investment Firms, particularly those based in Cyprus, that want to convert internal and external audit findings into tangible improvements in governance, controls, and commercial performance.
Special emphasis is given to CySEC’s expectations and practical ways to demonstrate an effective “three lines of defence” environment.
Participants will be shown how to leverage both internal and external audit reports to strengthen their business model, improve client outcomes, and reduce regulatory risk. The programme will also cover best practices, and common pitfalls, before, during, and after CySEC onsite and offsite inspections
ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ
By the end of the webinar, participants will be able to:
- Explain the regulatory expectations for internal and external audits in EU/Cyprus Investment Firms (MiFID II, CySEC framework, governance principles).
- Clearly distinguish between the roles of Internal Audit, External Audit, Compliance, Risk Management and the Board.
- Translate audit findings into risk-based, prioritised and time-bound action plans.
- Use audit reports as a strategic tool to enhance the firm’s business model, client value proposition and operational resilience.
- Prepare effectively for CySEC onsite and offsite inspections using structured checklists and evidence packs.
- Identify common “red flags” and typical mistakes made by firms before, during and after inspections – and how to avoid them.
ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ
This programme is designed for:
- Executive Directors and Board Members of Investment Firms
- Compliance Officers and Heads of Compliance
- Internal Auditors and members of Internal Audit functions
- Risk Managers and Operational Risk Officers
- Finance Managers and those liaising with External Auditors
- Heads of Portfolio Management, Dealing, Operations and Back-Office
- Consultants and professionals supporting Cyprus Investment Firms on governance, risk and compliance matters
ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ
Training Outline
Regulatory & Governance Framework
- MiFID II, CySEC directives and ESMA guidelines relevant to audits
- The Three Lines of Defence model in investment firms
- Role and independence of Internal Audit and External Audit
- Responsibilities of the Board and Senior Management
Internal Audit in Investment Firms
- Risk-based audit planning and annual audit plan approval
- Scoping audits for key areas (safeguarding, best execution, AML, complaints, governance)
- Conducting effective fieldwork and documenting audit evidence
- Rating findings and agreeing realistic management actions
External Audit & Assurance Engagements
- Interaction with External Auditors and handling audit queries
- Using external audit reports to validate and refine internal control frameworks
Turning Findings into Action
- From findings to root-cause analysis and control design
- Prioritisation: risk/materiality, regulatory urgency, client impact
- Building and maintaining an Audit Findings Register and Action Plan Tracker
- Allocating ownership, deadlines, and measurable success indicators
- Reporting to the Board and Committees: dashboards and summaries
CySEC Onsite & Offsite Inspections – Do’s & Don’ts
- Understanding CySEC’s supervisory approach and documentation requests
- How to use audit work to demonstrate control effectiveness
- Dos and don’ts before the inspection (readiness checks, data rooms, internal alignment)
- Dos and don’ts during the inspection (interviews, behaviour, disclosure, consistency)
- Dos and don’ts after the inspection (responses, remediation, evidence, follow-up)
- Using inspection feedback to further strengthen the business model
Case Studies, Templates & Practical Tools
- Realistic case studies from Cyprus Investment Firms
- Mapping audit findings to business model and revenue streams
- Q&A and discussion on participants’ real-life challenges
Training Style
The course is highly practical and interactive, blending concise technical presentations with case studies from real supervisory experiences and guided discussions. The focus is on “how to do it in practice”, enabling participants to immediately apply tools and behaviours within their own firms.
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.
Πληροφορίες Εκπαιδευτή
Παναγιώτης Νικολάου - CEO AFXAnts
Αναλυτικό Κόστος Σεμιναρίου
- € 240.00
- € 0.00
- € 45.60
- € 240.00
- € 285.60
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ
Πέμπτη - 12 Νοε 2026
Ώρα
09:00 - 11:45
ΕΚΠΑΙΔΕΥΤΗΣ:
Παναγιώτης ΝικολάουΤοποθεσία:
OnLine Virtual Classroom
Παρασκευή - 13 Νοε 2026
Ώρα
09:00 - 11:45
ΕΚΠΑΙΔΕΥΤΗΣ:
Παναγιώτης ΝικολάουΤοποθεσία:
OnLine Virtual Classroom
Εκδήλωση Ενδιαφέροντος : Internal & External Audits for Investment Firms – Turning Findings into Action
Σεμινάρια στην ίδια κατηγορία από τον ίδιο διοργανωτή
The Latest Developments in Anti-Money Laundering and Counter Terrorist...
Criminals employ various methods to launder money, including layering, bulk cash smuggling, and the use of shell companies. Terrorist financing, a subset of mon...
21/07/2026 09:00
7.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
New EU Directive on Pay Transparency (Directive (EU) 2023/970)...
This course offers a focused introduction to Directive (EU) 2023/970 on pay transparency, which strengthens the principle of equal pay for equal work and work o...
15/09/2026 09:00
4.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
VAT Law: Practical Principles, Compliance & Application...
VAT is one of the most significant indirect taxes affecting businesses across all sectors. Proper VAT treatment influences pricing, profitability, compliance...
16/09/2026 09:00
5.00 ώρες (2 μέρες)
Αγγλικά
Live Online
Suspicious Activity & Transactions for Financial Institutions...
This course provides a comprehensive understanding of how to detect, report, and prevent suspicious activities and transactions within financial institutions. P...
28/09/2026 16:00
6.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Liquidity Stress Testing: Navigating the Regulatory Framework...
This course provides a comprehensive understanding of the regulatory framework for Liquidity Stress Testing (LST). It combines theoretical insights with practic...
29/09/2026 10:00
5.00 ώρες (2 μέρες)
Αγγλικά
Live Online
Advanced Principles of Taxation & Transfer Pricing: Concepts, Applicat...
International taxation and transfer pricing have become increasingly interconnected as organisations expand across borders, adopt complex operating models, and ...
06/10/2026 09:00
14.00 ώρες (6 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Navigating the EU AML Package: AMLA, Single Rulebook, and Risk-Based C...
This executive training provides a comprehensive and practical overview of the new EU Anti-Money Laundering (AML) Package, focusing on the establishment of the ...
06/10/2026 09:00
6.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
AI Risk Mitigation in Regulated Entities...
Artificial Intelligence is rapidly being adopted across regulated industries, offering significant opportunities while introducing new and complex risk exposure...
07/10/2026 09:00
5.00 ώρες (2 μέρες)
Αγγλικά
Live Online
AML and Fraud Risk Management for Electronic Money Institutions (EMIs)...
This course provides EMI professionals with a comprehensive understanding of their AML/CFT and fraud prevention obligations under EU and national frameworks. It...
08/10/2026 09:00
6.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
HRDA Vital Importance: Navigating the New Risk Landscape: An Innovativ...
The programme is approved by the Cyprus Human Resource Development Authority (HRDA) as a “Vital Importance” training programme. HRDA Vital Importance programme ...
13/10/2026 09:00
18.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
EIMF (Λευκωσία)
Advanced Securities Dealing & Risk Management...
This intensive training programme provides a structured professional development framework for Dealers in Securities, covering both client and broker (dealing i...
13/10/2026 09:00
6.00 ώρες (2 μέρες)
Αγγλικά
Live Online
International vs Cyprus Payroll – Practical Workshop...
This executive-level workshop provides a structured and practical comparison between Cyprus payroll and international payroll environments, focusing on both Eur...
14/10/2026 09:00
4.50 ώρες (1 ημέρα)
Αγγλικά
Live Online
Elements of AI Governance in Banking & Finance...
The course will provide professionals with the knowledge of basic elements needed to establish an effective Governance framework which oversees and manages AI s...
16/10/2026 09:00
3.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
Practical Compliance: Safeguarding Client Funds & Managing Unclaimed A...
This programme provides a hands-on, regulatory-driven approach to safeguarding client funds and managing unclaimed assets within Cyprus Investment Firms under M...
20/10/2026 09:00
5.00 ώρες (2 μέρες)
Αγγλικά
OnLine Virtual Classroom
Decoding of MiFID III/MiFIR 2 Fundamentals & Reporting...
MiFID framework reform has been continuously evolving since 2007, introducing a significant number of notable developments – starting from Market in Financial I...
20/10/2026 09:00
3.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
The Newly Enforced Digital Operational Resilience Act (D.O.R.A) Regula...
The course aims to provide a deep dive into the critical legislative package associated with the Digital Operational Resilience Act (DORA), which has recently c...
22/10/2026 10:00
5.00 ώρες (2 μέρες)
Αγγλικά
Live Online
Marketing with Integrity: Navigating Financial Promotion & Compliance...
In today’s fast-evolving financial services environment, marketing and promotional activities are under growing scrutiny from regulators and clients alike. Misl...
04/11/2026 09:00
6.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
HRDA Vital Importance: Innovative Management of Organisational, Operat...
The programme is approved by the Cyprus Human Resource Development Authority (HRDA) as a “Vital Importance” training programme. HRDA Vital Importance programme ...
10/11/2026 09:00
18.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
EIMF (Λευκωσία)
Internal & External Audits for Investment Firms – Turning Findings int...
This programme is designed for European Investment Firms, particularly those based in Cyprus, that want to convert internal and external audit findings into tan...
12/11/2026 09:00
5.00 ώρες (2 μέρες)
Αγγλικά
Live Online
DORA Register of Information, Third-Party Risk Management & Incident H...
The Digital Operational Resilience Act (DORA) became applicable on 17 January 2025, which stands as a transformative framework. Its implications are far-reachin...
18/11/2026 09:00
3.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
Leveraging AI in AML: Concepts, Applications, and Regulatory Complianc...
This course focuses on the application of Artificial Intelligence (AI) in Anti-Money Laundering (AML) programs. Participants will learn how AI technologies can ...
19/11/2026 09:00
6.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
DAC6 Compliance & Reporting: From Theory to Practice...
The DAC6 EU Directive aims at transparency and fairness in taxation. DAC6 applies to cross-border arrangements, which meet one or more specified characteristics...
19/11/2026 09:30
3.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
Regulation as a System: Financial Compliance and AI Implementation...
This seminar introduces participants to a systems-oriented approach to financial regulation and compliance. It examines how legal and regulatory requirements ar...
24/11/2026 09:00
7.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
From Tulips to Bail-ins: 400 Years of Financial Crises and the Regulat...
Financial crises are not freak events — they are recurring patterns driven by leverage, opacity and regulatory drift. This 3-hour masterclass traces four landma...
24/11/2026 09:00
3.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
Enterprise-Wide Money Laundering Risk Assessments (EWR): A Best Practi...
Regulators all around the globe emphasise the application of a risk-based approach to fight money laundering. But a risk-based approach can only be applied with...
25/11/2026 10:00
5.00 ώρες (2 μέρες)
Αγγλικά
Live Online
A Comprehensive Guide to Cybercrime, Card Fraud and Insider Fraud Prev...
Cybercrime is a very serious threat to information and systems security, and risk prevention is vital to protecting us at a business or personal level. It r...
01/12/2026 09:00
6.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
From Products to Protection: MiFID II Governance, Suitability & Approp...
In today’s regulatory environment, investment firms are expected to demonstrate not only compliance but also a genuine commitment to investor protection. This s...
01/12/2026 09:00
5.00 ώρες (2 μέρες)
Αγγλικά
Live Online
Client Onboarding Risk Management...
This intensive masterclass empowers professionals with the critical expertise to identify, evaluate, and mitigate risks throughout client onboarding procedures....
02/12/2026 09:00
4.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
Exploring the Key Market Abuse Fundamentals & Trade Surveillance...
Market Abuse is a regulatory offense that encompasses various illicit activities aimed at manipulating financial markets for personal gain, as well as undermini...
02/12/2026 09:00
3.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
Counter Terrorism Financing...
This intensive 3-hour Counter Terrorism Financing course provides participants with essential knowledge and practical skills to identify, assess, and combat ter...
15/12/2026 10:00
3.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
Non-Executive Directors (NEDs) in Financial Institutions...
This programme is designed to equip Non-Executive Directors (NEDs) in financial institutions with the skills, knowledge, and oversight capabilities needed to ef...
15/12/2026 16:00
5.00 ώρες (2 μέρες)
Αγγλικά
Live Online
CARF in Practice: From Crypto Tax Transparency to Reporting Readiness...
The Crypto-Asset Reporting Framework (CARF) is the OECD's dedicated tax transparency regime for Crypto-Assets. It was introduced because the Common Reporting St...
16/12/2026 09:00
3.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
AI Tools & Prompt Engineering for Risk & Compliance Professionals...
AI tools are rapidly transforming how compliance professionals manage risk, conduct investigations, and prepare for regulatory exams. This hands-on training int...
16/12/2026 15:00
3.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
FCA – The Role and Approach...
This course seeks to explain the role the FCA plays in the financial services sector and its position within the overall UK economy. We look at the structure of...
31/01/2027 01:40
Αγγλικά
eLearning
Assessing and Managing AML Risks...
This course outlines the need for combating ML risks and other financial crimes. Financial institutions must be able to respond to threats on a contextual basis...
31/01/2027 01:40
Αγγλικά
eLearning
AML for ICPAC and CBA Professionals Mock Exams...
A set of 3 full Mock & Revision Exams in English for the Compliance Officer Certification in AML for ICPAC and CBA Professionals Exam...
31/01/2027 01:40
Αγγλικά
eLearning
Budgets and Financial Reports...
Money matters can be intimidating for even the smartest people. However, having a solid understanding of basic financial terms and methods is crucial to yo...
31/01/2027 01:40
Αγγλικά
eLearning
AML Risk Assessment...
Description Risk assessment enables financial institutions to focus on their AML/CFT efforts and adopt appropriate measures to allocate the necessary resources ...
31/01/2027 01:40
Αγγλικά
eLearning
AML Regulatory Compliance Updates (Cyprus)...
In an era of rapidly evolving financial crime tactics and tightening global regulations, staying ahead of Anti-Money Laundering (AML) requirements is not just a...
31/01/2027 01:40
Αγγλικά
eLearning
Prospectus and Transparency...
This course on the Prospectus Regulation is designed to provide learners with a comprehensive understanding of the regulatory framework governing the preparatio...
31/01/2027 01:40
Αγγλικά
eLearning
Building an AML Risk-Based Approach...
The risk-based approach (RBA) is central to the effective implementation of the Financial Action Task Force (FATF) recommendations. This means that superviso...
31/01/2027 01:40
Αγγλικά
eLearning
AML 4th and 5th Directives Overview...
When the EU issues an anti money laundering directive, it also sets an implementation date by which appropriate AML/CFT legislation must be in place within memb...
31/01/2027 01:40
Αγγλικά
eLearning
Market in Crypto-Assets Regulation (MiCA) Overview...
In recent years, the landscape of finance has undergone a transformative shift with the emergence of cryptocurrency and blockchain technology. As these digital ...
31/01/2027 01:40
Αγγλικά
eLearning
Conduct Rules for All Staff...
This module provides an overview of the individual Conduct Rules introduced by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PR...
31/01/2027 01:40
Αγγλικά
eLearning
Compliance and Governance for Electronic Money Institutions (EMIs) in ...
This course provides a thorough understanding of the legal and regulatory framework governing Electronic Money Institutions (EMIs) in Cyprus. This course provi...
31/01/2027 01:40
Αγγλικά
eLearning
ICAAP – Internal Capital Adequacy Assessment Process...
The challenge with creating an ICAAP is it is more than just a document. In this course we will explain clearly and concisely why it is and should be dynamic pr...
31/01/2027 01:40
Αγγλικά
eLearning
Conflict of Interest (COI)...
Conflict of Interest Course (FCA) This course provides staff with an understanding of Conflict of Interest, the laws and regulations that make it illegal, and t...
31/01/2027 01:40
Αγγλικά
eLearning
Suspicious Transactions/Activity Reporting...
This course provides a brief overview of Suspicious Transactions / Activity Reporting process in a regulated financial services firm. This course is addressed t...
31/01/2027 01:40
Αγγλικά
eLearning
Regulatory Updates Cyprus Financial Services...
Description This course provides a structured analysis of these regulatory updates, ensuring that participants understand their obligations and can effective...
31/01/2027 01:40
Αγγλικά
eLearning
Establishing and Maintaining a Strong CDD Programme...
A key concern and significant risk for financial institutions is the possibility of unknowingly becoming complicit in money laundering, whereby illegitimate mon...
31/01/2027 01:40
Αγγλικά
eLearning
European Investment Funds: a Comprehensive Guide to UCITS, AIFs, Struc...
This course provides a comprehensive overview of European investment funds, focusing on their structure, regulation, and emerging trends. Participants will gain...
31/01/2027 01:40
Αγγλικά
eLearning
MiFID II Investor Protection...
The seminar is designed to provide a thorough examination of recent developments in the MiFID II regulatory framework, specifically focusing on four key el...
31/01/2027 01:40
Αγγλικά
eLearning
EBA Guidelines on ICT and Security Risk Management...
The aim of this course is to equip professionals in CySEC regulated investment firms with a thorough understanding of the European Banking Authority (EBA) Guide...
31/01/2027 01:40
Αγγλικά
eLearning
Anti-Bribery and Corruption...
Anti-bribery and anti-corruption legislation globally has existed for some time, though enforcement is becoming more aggressive. There is heightened regulatory ...
31/01/2027 01:40
Αγγλικά
eLearning
Fraud Detection and Prevention...
Fraud is usually defined by domestic regulators as taking place within a ‘given industry’ and within the broader legal framework, in a ‘given country’. Unethica...
31/01/2027 01:40
Αγγλικά
eLearning
The Value of Customer Due Diligence (CDD)...
CDD is an ongoing process and, as such, a critical element for effectively managing the risks posed by existing clients, thus protecting the organization...
31/01/2027 01:40
Αγγλικά
eLearning
Consumer Duty...
In July 2022, the Financial Conduct Authority, or FCA, published a policy statement, with final rules, on its Consumer Duty initiative. This comprises a new pri...
31/01/2027 01:40
Αγγλικά
eLearning
Understanding Securities Financing Transaction Regulation – SFTR...
SFTR is a major regulatory reporting requirement for anyone transacting repo and other securities financing transactions in the EU, no matter how limited their ...
31/01/2027 01:40
Αγγλικά
eLearning