Duration: 2 Days
Location: Dubai, UAE
Upcoming Dates: 15 - 16 Oct 2019
Heightened regulation over the last decade has emphasised the need to ensure your business is conducted in Compliance with laws, professional standards and internal policies. It is one of the many roles of the Compliance Officer to ensure the firm develops systems and controls that can help achieve full Compliance.CCL...
Heightened regulation over the last decade has emphasised the need to ensure your business is conducted in Compliance with laws, professional standards and internal policies. It is one of the many roles of the Compliance Officer to ensure the firm develops systems and controls that can help achieve full Compliance.
CCL have developed this programme to meet the needs of today’s Compliance Officer. It will consider the role of ethics and the importance of setting the “tone from the top” before looking at how the Compliance function fits into the firm’s overall structure. Then there will be a thorough examination of the main areas the Compliance Officer needs to focus on, and the three key roles of advising, educating and monitoring.
This Certificate course has been endorsed by the Chartered Institute for Securities & Investment (CISI) and provides participants with the practical skills and knowledge required to carry out the Compliance function in line with international regulations and best practice.
The workshop style programme uses a variety of teaching methods, including relevant case studies, illustrative examples and participant interaction to help participants quickly grasp and internalise new knowledge. It has been designed by Compliance Officers and former Regulators who between them have over 50 years of Compliance experience.
Who is this for?
The certificate programme is ideal for all participants who seek understanding of the growing significance of regulation and the need for Compliance, including:
- Compliance professionals
- Legal, Audit, Risk, Operations and IT specialists
What is Compliance?
- What is Compliance Risk?
- Why is it important?
- What are the activities of the Compliance Department?
Corporate Governance and Ethics
- The importance of strong Corporate Governance
- Key elements of a Corporate Governance regime
- Why do Ethics matter?
- Role of the Compliance Department in Corporate Governance & Ethics
Effective Control Structures
- Essential elements of a robust organisational structure
- Risk management
- Management information
- Control functions – Compliance & Internal Audit
- Staff, agents & outsourcing
- Business continuity
Conduct of Business Rules
- Core COB rules
- Additional rules for investment businesses
- Additional rules for insurance businesses
Conflicts of Interest
- Definition & typology
- Corporate conflicts
- Personal conflicts
- Gifts & inducements
- Chinese Walls & other controls
- Market abuse and insider dealing
Role of the Compliance Function
- Key attributes of a Compliance Officer
- Compliance advisory function
- Compliance training and education
- Compliance monitoring
- Compliance manuals and documentation
- Point 1
- Point 2
- Point 3