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Compliance Essentials
- Χρηματοοικ. Ασφαλιστικά Τραπεζικά - Νομοθεσία, Νομική & Δικηγόροι
Αγγλικά
10 ώρες
(
3 μέρες
)
ΠΕΡΙΓΡΑΦΗ
Course Overview
COVID-19 has created unprecedented business and regulatory disruption in a numerous application of a new regulations period. There are massive changes to how financial institutions operate, what regulators and supervisors expect, in addition to significant economic impacts on society, businesses and individuals.
Compliance Function is developing in one of the most important functions for the banks, as well as for the financial and insurance institutions, as demonstrated by several international scandals impacting the reputation of big financial institutions.
Compliance contributes to the security of the organization and to the prevention of situations, which would impact the operation and the reputation of the organization, as well as the employees individually. The need of training for the personnel working in the financial area has become imminent, in order for them to be in position to face the new challenges and to contribute, depending on their role, to the adaptation and the operation of the organization, according to the existing and forthcoming regulation. In parallel, the role of the Compliance Officer evolves progressively and Compliance has become, a new challenging career opportunity, at global level.
ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ
- Banks’ managers/officers
- Investment Services Companies managers/officers
- Insurance Companies managers/officers
- Listed Companies managers
- IT managers/officers of companies developing IT systems/applications for financial institutions in order for them to meet the regulatory requirements
- Lawyers
- Officers exercising control activities (internal auditors, inspectors, external auditors, operational risk managers etc)
- Professionals wishing to work in Compliance in the future
- Graduate or post graduate students.
- Professionals that wish to make an international career in Compliance and would like to have a broader picture of how Compliance works and its methodologies, at international level
ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ
Training Outline
History, need for regulation, regulation models
- The need for regulation
- Models of Regulation
- Objectives and benefits of regulation
- Self-Regulatory Models
- Extra-Territorial Reach of Legislation
Compliance Function: Responsibilities, skills, Compliance risk, tools
- The definition of Compliance
- The risk of non-compliance
- The role of the Compliance Officer and his place in the context of the internal control framework
- The profile of the Compliance Officer (skills, knowledge, background)
- Role, responsibilities and mission of the Compliance Function and the Compliance Officer
- Areas covered by the Compliance Unit
- Models of organizational structure of a Compliance Function
- Interrelation of the Compliance Officer and the Compliance Unit, with other roles/units in a regulated company (lawyer, internal auditor,risk officer etc)
- Practical tools and methodologies which facilitate the daily work of the Compliance Officer
Managing the Risk of Financial Crime
- Financial Crime Risk Management
- Money Laundering
- Terrorist financing process
- 4th & 5th EU Directive
- COVID-19 Outbreak Prompts Financial Institutions to Adjust Transaction Monitoring
- Investment Fraud (Ponzi Schemes, Boiler Rooms)
- Case Studies
Ethics, Integrity and Fairness
- Ethical Culture
- Relating Ethical Standards to the Financial Services Industry
- Corporate Social Responsibility and Training
- Market Integrity
- Fair Dealing
Governance – Impact on compliance function
- Objectives of Corporate Governance
- The role of the Board in Risk Governance
- Composition of the Board – Independence criteria
- BIS Principles
- Effective Risk Management
- Assessment of Internal and External Risks
- Assessment of Risks
CPD Recognition
This programme may be approved for up to 10 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 AML and Financial Regulation, are advised to consider training subjects in categories that indicate CPD training in AML and CPD training in Financial Regulation.
Trainer
Panayiotis Antoniou
Πληροφορίες Εκπαιδευτή
Παναγιώτης Αντωνίου - Risk Management - Compliance
Αναλυτικό Κόστος Σεμιναρίου
Για Δικαιούχους ΑνΑΔ
- € 420.00
- € 170.00
- € 79.80
- € 250.00
- € 297.50
Για μη-Δικαιούχους ΑνΑΔ
- € 420.00
- € 0.00
- € 79.80
- € 420.00
- € 499.80
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ
Πέμπτη - 02 Δεκ 2021
Ώρα
16:00 - 19:45
ΕΚΠΑΙΔΕΥΤΗΣ:
Παναγιώτης ΑντωνίουΤοποθεσία:
OnLine Virtual Classroom
Δευτέρα - 06 Δεκ 2021
Ώρα
17:30 - 20:45
ΕΚΠΑΙΔΕΥΤΗΣ:
Παναγιώτης ΑντωνίουΤοποθεσία:
OnLine Virtual Classroom
Τρίτη - 07 Δεκ 2021
Ώρα
17:30 - 21:15
ΕΚΠΑΙΔΕΥΤΗΣ:
Παναγιώτης ΑντωνίουΤοποθεσία:
OnLine Virtual Classroom
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This course looks at the key rules and requirements to issue complaint financial promotions and maintain appropriate oversight and control of your financial pro...
31/01/2026 10:35
Αγγλικά
eLearning
Introduction to Know Your Client (KYC) and Customer Due Diligence (CDD...
KYC/CDD is a critical element for effectively managing the risks posed by potential clients, thus protecting the organization against criminals, terrorists, and...
31/01/2026 10:35
Αγγλικά
eLearning
Anti-Money Laundering for Law Firms...
Reduce risk and safeguard your business. Created in partnership with industry experts, our training is designed to develop the right behaviours and deliver bett...
31/01/2026 10:35
Αγγλικά
eLearning
Governance, Risk Management and Compliance (4 CPD Units)...
The self-based online training programme provides the participants with a broad range of areas addressed in a Governance, Risk and Compliance (GRC) model. Parti...
31/01/2026 10:35
Αγγλικά
eLearning
CySEC 15 CPD Bundle 2...
The course includes: The Fund Industry: Latest Regulatory Framework Sustainable Finance Disclosure Regulation (SFDR) and other ESG Initiatives ...
31/01/2026 10:35
Αγγλικά
eLearning
CySEC 15 CPD Bundle 1...
The course includes: MiFID II Overview European Market Infrastructure Regulation (EMIR) Overview Anti-Money Laundering and Terrorism Financing Fundame...
31/01/2026 10:35
Αγγλικά
eLearning
CySEC 20 CPD Bundle 7...
The course includes: Governance, Risk Management and Compliance Fundamentals of Environmental, Social & Governance (ESG) Reporting & Compliance Ethics...
31/01/2026 10:35
Αγγλικά
eLearning
CySEC 15 CPD Bundle 5...
The course includes: Corporate Governance for Financial Institutions International Economic Sanctions Fundamentals of Environmental, Social & Governan...
31/01/2026 10:35
Αγγλικά
eLearning
CySEC 20 CPD Bundle 5...
The course includes: The Fund Industry: Latest Regulatory Framework Know your Client (KYC) and Customer Due Diligence (CDD) Risk Based Approach (RBA) ...
31/01/2026 10:35
Αγγλικά
eLearning
CySEC 20 CPD Bundle 6...
The course includes: Best Execution Overview AIF – Alternative Investment Funds Understanding Securities Financing Transaction Regulation – SFTR Fin...
31/01/2026 10:35
Αγγλικά
eLearning
Market Abuse Regulation Overview...
This course offers a condensed review of Market Abuse Regulation (MAR). It addresses the characteristics of market abuse and the impact on firms and individuals...
31/01/2026 10:35
Αγγλικά
eLearning
CySEC 10 CPD Bundle 2...
The course includes: Anti-Money Laundering and Terrorism Financing Fundamentals Fundamentals of Risk Management Market Abuse Regulation Ove...
31/01/2026 10:35
Αγγλικά
eLearning
AIFM - Alternative Investment Fund Managers...
Description This course offers a comprehensive introduction to the Alternative Investment Fund Managers (AIFM). It addresses the application of the AIFM Law,...
31/01/2026 10:35
Αγγλικά
eLearning
CySEC 20 CPD Bundle 8...
The course includes: Advanced Anti-Money Laundering for Financial Institutions Know your Client (KYC) and Customer Due Diligence (CDD) ICAAP – Interna...
31/01/2026 10:35
Αγγλικά
eLearning
CySEC 10 CPD Bundle 3...
The course includes: ICAAP – Internal Capital Adequacy Assessment Process Financial Crime Risk Management Ethics and Compliance ...
31/01/2026 10:35
Αγγλικά
eLearning
Market Abuse and Regulation...
Description This course will provide a comprehensive review of Market Abuse and the respective regulatory environment. It will cover inside information and i...
31/01/2026 10:35
Αγγλικά
eLearning
European Market Infrastructure Regulation (EMIR) Overview...
Description This course offers a comprehensive overview of the EMIR. It addresses the EMIR requirements, the types of counterparties and the clearing obligat...
31/01/2026 10:35
Αγγλικά
eLearning
CySEC 15 CPD Bundle 3...
The course includes: Market Abuse and Regulation Treating Customers Fairly and Handling Complaints in the Financial Services Sector ...
31/01/2026 10:35
Αγγλικά
eLearning