CIFs Regulatory Compliance Crash Course

- Χρηματοοικ. Ασφαλιστικά Τραπεζικά

23 Μαΐου 2024 09:00 23 Μαΐου 2024 14:30
5 ώρες ( 1 ημέρα )
presentation img Νικόλας Δημητριάδης
CIFs Regulatory Compliance Crash Course


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.

The aim of the seminar is to provide an easy to follow ‘instructions manual’ on how to efficiently perform some of the most important requirements of the compliance function.


  • 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


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


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


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.

Πληροφορίες Εκπαιδευτή
Νικόλας Δημητριάδης - Executive Director at Hesper Capital Ltd

Nikolas is the Risk & Compliance Director of B2B Lateral Thinking Solutions, a boutique consulting firm specializing in regulatory compliance, risk management, legal and corporate services. B2B Lateral Thinking Solutions is mainly offering services to CIFs, AIFs and AIFMs.

Prior to this, for almost three years, Nikolas was heading up the compliance department of one of the biggest Cyprus Investment Firms, having a team of more than 10 members and being responsible for the training and monitoring of more than 150 employees.

Before that, for several years, he was heading up the licensing team of the Financial Regulation and Advisory Department of a reputable consulting firm in Cyprus. He was responsible for the setting up and securing the relevant authorization required for CIFs, AIFs, AIFMs, Payment Institutions and Electronic Money Institutions.

Nikolas started his career as a junior compliance consultant in a reputable consulting firm in Cyprus offering services to CIFs and investment funds.

Nikolas graduated from Cass Business School in the UK with a degree in Business Studies. He is Chartered Financial Analyst and also having the advanced certificate of CySEC which is required for the performance of key functions within the regulated entities, including the compliance function.

Αναλυτικό Κόστος Σεμιναρίου
  • € 180.00
  • € 0.00
  • € 34.20
  • € 180.00

Πέμπτη - 23 Μαΐου 2024


09:00 - 14:30


Νικόλας Δημητριάδης


Invictus Globaltraining Centre (Λεμεσός)

Εκδήλωση Ενδιαφέροντος : CIFs Regulatory Compliance Crash Course