Governance, Risk Management and Compliance (4 CPD Units)

- Οργάνωση/ Διοίκηση/ Ηγεσία - Χρηματοοικ. Ασφαλιστικά Τραπεζικά

31 Ιαν 2023 17:48 31 Ιαν 2023 17:48
Αγγλικά
4 ώρες ( ημέρα )
Governance, Risk Management and Compliance (4 CPD Units)

ΠΕΡΙΓΡΑΦΗ

The self-based online training programme provides the participants with a broad range of areas addressed in a Governance, Risk and Compliance (GRC) model. Participants will understand how to apply GRC processes to avoid duplication of efforts. The programme also includes important definitions, and the structure of a GRC Model.


Description

Effective Governance, Risk and Compliance (GRC) practices are essential to achieving and maintaining public trust and confidence in financial services, which are critical to the proper functioning of the sector and the economy. Poor GRC can contribute to bank failures, which can pose significant public costs. Such failures also have the potential to impact on any applicable deposit insurance system, and there is the possibility of broader macroeconomic implications, such as contagion risk and impact on payment systems. This was illustrated in the financial crisis that began in 2008.

From a financial industry perspective, GRC involves the way the business and affairs of a firm are governed by its board and senior management, including how they:

  • set the firm’s strategy and objectives
  • determine the firm’s risk tolerance/appetite
  • operate the firm’s day-to-day business
  • protect the interests of depositors, meet shareholder obligations, and take into account the interests of other recognised stakeholders, and
  • align corporate activities and behaviour with the expectation that the firm will operate in a safe and sound manner, with integrity and in compliance with applicable laws and regulations.


Part 1: Corporate Governance

  • Objectives of Corporate Governance
  • Senior Management Leadership
  • Monitoring Corporate Governance
  • Unitary and Dual (Two-Tier) Boards
  • Effective Management
  • Audit Contribution to Governance
  • What does Due Diligence Mean?
  • Corporate Governance Training
  • Enhancing Corporate Governance – Background to the Bank for International Settlements (BIS) Principles


Part 2: Key Risk Types, their Application and Impact on the Compliance Function

  • Risk and Uncertainty
  • External Sources of Risk
  • Internal Sources of Risk
  • Effective Risk Management
  • Assessment of Risks
  • Risk Management


Part 3: Compliance

  • Managing Compliance Risk
  • Using Technology to Aid the Management of Compliance Risks
  • The Impact of Technology on Regulatory Risk


Training Duration

This course may take up to 4 hours to complete. However, actual study time differs as each learner uses their own training pace.


Participants

This course is ideal for anyone wishing to know the essentials of GRC and the international regulatory environment. It is also suitable for professionals pursuing regulatory CPD in Financial Regulation.

  • Board Members
  • Governance Officer
  • Compliance Manager
  • Risk Manager
  • Audit Executive
  • Internal Auditor
  • IT Auditor
  • Corporate Counsel


Training Method

The course is offered fully online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop and resume their training at any time.

At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion once all quizzes have been passed successfully.


Accreditation and CPD Recognition

This programme has been developed by the European Institute of Management & finance (EIMF), a leading and recognised training institution.

The syllabus is verified by external subject matter experts and may be accredited by financial regulators, and general financial training accreditation bodies, such as CISI, ICA, and ACAMS for 4 CPD Units.

Eligibility criteria and CPD Units are verified directly by your association or other bodies in which you hold membership.


Registration and Access

To register to this course, click on the 'Buy Now' button to pay online and receive your access shortly after. 

Access to the course is valid for 90 days.

Αγορά: Governance, Risk Management and Compliance (4 CPD Units)


€ 105.01
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Product Governance, Suitability and Appropriateness (5 CPD Units)...

DESCRIPTIONThe product governance regime aims to ensure that firm’s act in a client’s best interests, including funds and related management services, to end cl...

31/01/2023 17:48

Αγγλικά

eLearning

Sales Compliance and Techniques for Investment Firms (5 CPD Units)...

DESCRIPTIONThis course aims, is to assist professionals in investment firms, in particularly those whose primary function is within the Sales, customer retentio...

31/01/2023 17:48

Αγγλικά

eLearning

Market Abuse and Regulation...

DescriptionThis course will provide a comprehensive review of Market Abuse and the respective regulatory environment. It will cover inside information and insid...

31/01/2023 17:48

Αγγλικά

eLearning

European Market Infrastructure Regulation (EMIR) Overview...

DescriptionThis course offers a comprehensive overview of the EMIR. It addresses the EMIR requirements, the types of counterparties and the clearing obligations...

31/01/2023 17:48

Αγγλικά

eLearning

UCITS - Undertakings for Collective Investments in Transferable Securi...

DescriptionThis course offers a comprehensive introduction to the Undertakings for Collective Investments in Transferable Securities (UCITS). It addresses the n...

31/01/2023 17:48

Αγγλικά

eLearning

Fundamentals of Investment and Finance...

DescriptionThis course offers a general review of the financial services sector, with a specific focus on investments from a global perspective. The focus of th...

31/01/2023 17:48

Αγγλικά

eLearning

Anti-Bribery and Anti-Corruption...

DescriptionThis course offers a comprehensive review to bribery and corruption, and the effects of both. It addresses the forms of bribery, provides statistics ...

31/01/2023 17:48

Αγγλικά

eLearning

AIFM - Alternative Investment Fund Managers...

DescriptionThis course offers a comprehensive introduction to the Alternative Investment Fund Managers (AIFM). It addresses the application of the AIFM Law, the...

31/01/2023 17:48

Αγγλικά

eLearning

AIF - Alternative Investment Funds...

DescriptionThis course offers a comprehensive introduction to the Alternative Investment Funds (AIF). It addresses national and EU issues, reflecting the legal ...

31/01/2023 17:48

Αγγλικά

eLearning

Best Execution...

The FCA rules relating to Best Execution cover all ‘financial instruments’. Firms must establish and implement a Best Execution Policy, setting out details of h...

31/01/2023 17:48

Αγγλικά

eLearning