What Compliance Officers need to know: Regulatory developments and the dos and don’ts of an inspection

- Χρηματοοικ. Ασφαλιστικά Τραπεζικά - Λογιστικά/ Έλεγχος/ Φορολογικά - Νομοθεσία, Νομική & Δικηγόροι

22 Μαΐου 2024 09:00 24 Μαΐου 2024 15:00
Αγγλικά
10 ώρες ( 2 μέρες )
anad greek logo
What Compliance Officers need to know: Regulatory developments and the dos and don’ts of an inspection

ΠΕΡΙΓΡΑΦΗ

The programme aims at providing participants with an update on all the major regulatory and legislative developments at an EU level as well as within the Cyprus financial services legal framework. Such updates may well impact the operations of regulated entities as well as increase the duties of Compliance Officers and of Senior Management. 

Furthermore, the programme will provide useful guidance on the dos and don’ts of an inspection and/or an investigation that may be performed by the regulator. The programme will provide an overview of the actions to be taken to prepare for such inspections, the process to be followed to rectify any findings that may be identified and/or in case enforcement actions are taken.

ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ

By the end of the programme, participants will:

  • List the updates of all new relevant European and local legal acts, circulars and directives
  • Understand the organisational requirements of the compliance function.
  • Describe the responsibilities and duties of the compliance function.
  • Explain how the regulatory and legislative developments affect an organisation.
  • Explain what a risk-based monitoring programme is.
  • Demonstrate how someone can effectively handle an inspection by the regulator.
  • Analyse the legal and regulatory background in EU and CY.
  • Show how regulated entities are prepared for an inspection.
  • Evaluate how regulatory updates impact your organisations compliance and what actions to take.

ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ

The programme is ideal for:

  • Managers and Senior Managers in Investment Firms
  • Compliance Officers
  • Internal Auditors
  • Internal Lawyers
  • External Auditors, Lawyers and Financial Consultants
  • Finance professionals

ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ

Training Outline 

Duties and responsibilities of Compliance officers

  • Importance of the Compliance Officer within the firm
  • Responsibilities of the Compliance function
  • Organisational requirements of the Compliance function
  • Reporting Obligation of the Compliance function

 Video & Discussion: Top 5 Responsibilities of a Compliance Officer

 EU and CY major regulatory and legislative developments

 Overview of the major EU regulatory updates

  • Overview of the major CY regulatory updates
  • Actions to be taken by the Compliance function

 Video & Discussion: Major legislative changes in EU+ countries

 The dos and don’ts of a regulatory inspection

  • The responsibility of the Compliance function and Senior Management
  • The importance of correct compliance and application of regulatory findings
  • What to do during a regulatory inspection
  • Aftermath of a regulatory inspection and corrective measures


Training Style

 The programme is designed to provide high-level knowledge and comprehensive insights into regulatory compliance and equip compliance officers with practical knowledge for handling inspections and/or an investigation that may be performed by the regulator.

 

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.

Πληροφορίες Εκπαιδευτή
Χαράλαμπος Αναστασιάδης - Director at CSA PRO Solutions LTD

Experienced Director with a demonstrated history of working in the financial compliance industry. Skilled in Compliance, Anti Money Laundering, Banking, Finance, Commercial Banking, Internal Controls, and Risk Assessment . Strong professional graduated from Vanderbilt University - Owen Graduate School of Management.

Κυριάκος Χριστοφίδης - Head of Financial Services Department of MAP S.Platis

Kyriakos Christofides is the Head of Financial Services Department of MAP S.Platis, a regional leader in the provision of financial services. He is holder of a BA in Business / Finance, an L.LB. Bachelor of Laws and the Advanced Certificate from the Cyprus Securities and Exchange Commission. Kyriakos’ past experience extends to super national corporations in the oil and gas industry, alternative investment funds, and regulated entities under the Cyprus and United Kingdom’s regulatory framework from a variety of senior management roles such as Director and Head of Compliance of large organisations.

Being heavily involved in the provision of professional financial services in different jurisdictions, has helped him develop an inquisitive and proactive approach for regulatory matters by providing client facing and solution oriented professional advice for complex matters.

Αναλυτικό Κόστος Σεμιναρίου

Για Δικαιούχους ΑνΑΔ

  • € 420.00
  • € 200.00
  • € 0.00
  • € 220.00

Για μη-Δικαιούχους ΑνΑΔ

  • € 420.00
  • € 0.00
  • € 79.80
  • € 420.00
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ

Τετάρτη - 22 Μαΐου 2024

Ώρα

09:00 - 15:00

ΕΚΠΑΙΔΕΥΤΗΣ:

Κυριάκος Χριστοφίδης

Τοποθεσία:

OnLine Virtual Classroom

Παρασκευή - 24 Μαΐου 2024

Ώρα

09:00 - 15:00

ΕΚΠΑΙΔΕΥΤΗΣ:

Χαράλαμπος Αναστασιάδης

Τοποθεσία:

OnLine Virtual Classroom

Εκδήλωση Ενδιαφέροντος : What Compliance Officers need to know: Regulatory developments and the dos and don’ts of an inspection

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