ΠΕΡΙΓΡΑΦΗ

Day-to-day life within the compliance function of a CIF, or a CIF in general, can get easier when both the compliance officer and senior management have a clear understanding on what needs to be done, when and how.

ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ

• Not to miss a regulatory deadline
• Follow a sophisticated process to establish a risk-based compliance monitoring plan in order to effectively perform the ongoing compliance monitoring
• Efficiently handle client complaints
• Be able to prepare the annual compliance report to be submitted to CySEC

ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ

• Compliance Officers & Assistants
• Executive & Non-Executive Directors
• Lawyers and consultants
• Any professionals wishing to enhance their understanding in regulatory compliance for CIFs

ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ

Seminar Outline

Compliance Function & Compliance Calendar

• Brief description of the compliance function
• Compliance calendar

Compliance Monitoring Plan

• Holistic process for the design of an efficient risk-based monitoring plan
• Risk assessment & appetite
• Priority setting
• Execution of the plan

Handling of Client Complaints

• Provision of information to clients
• Complaint handling process
• Reporting to CySEC
• Ongoing monitoring -root cause analysis

Compliance Annual Report

• Indicative table of contents
• Brief description of the required content

Certification

All participants will be awarded a certificate. Each hour of attendance will account for one unit of Continuing Professional Development (CPD) as required for members of most professional bodies.