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Regulatory Compliance
- Cyber Security, Programs
- 0 (Registered)
-
(0 Review)
17
Jan
This course focuses on the complex landscape of regulatory compliance and the essential frameworks and best practices to adhere to industry-specific regulations. The course will cover critical topics such as risk assessment, compliance monitoring, reporting, and audit management. Students will gain the skills and knowledge required to establish and maintain effective regulatory compliance programs, enabling them to navigate the ever-changing landscape of regulatory requirements.
Course Outline
MODULE 1: UNDERSTANDING COMPLIANCE AND THE REGULATORY ENVIRONMENT
- Definition of compliance and compliance management
- Importance of compliance management
- Practical examples of compliance management
- Risks involved and preventive methods in lines to Compliance Management
- Stakeholder validation process
- Risk assessment
- Economic success
- Environmental sustainability
- Why do we need regulation?
- The objectives of financial services regulation
- The background to regulation
- The regulatory timeline
- Consumer/investor protection
MODULE 2: INTERNATIONAL REGULATION
- The roles of the regulator
- Different regulatory models around the world
- Overview of recent international regulation
- The influence of international bodies
MODULE 3: COMPLIANCE IN PRACTICE
- Compliance in practice
- Compliance structure
- The roles and responsibilities of a Compliance Officer/Auditor
- Key compliance activities and processes
MODULE 4: MANAGING THE RISK OF MONEY LAUNDERING AND PROLIFERATION FINANCING
- How are the proceeds of crime laundered?
- The objectives of money laundering and vulnerabilities of products and services
- Understanding money laundering offences
- The relationship between the Compliance Officer and the other stakeholders
- Designing an effective internal reporting system
- The risk-based approach to money laundering
- Money laundering and tax evasion
MODULE 5: FINANCIAL CRIME PREVENTION
- What is fraud?
- Frauds perpetrated against ordinary investors
- Frauds against organisations
- Preventing fraud
- Corruption
MODULE 6: STAKEHOLDERS IN CORPORATE GOVERNANCE (CG)
- Stakeholders
- Shareholders rights
- Directors’ duties and rights
- Internal auditors and external auditors
- Risk-based decision making
- CG failure effects
- The efficient board
MODULE 7: ENTERPRISE RISK MANAGEMENT
- Risk perception
- Why should we care about risk?
- Risk management definitions
- Risk management process
- Risk prevention, management, monitoring, and control
- Internal environment changes
- External environment changes
- ISO 31000 risk management process
- ISO 31000 risk management framework and principles
- COSO ERM process
- Risk response – 4 T’s
- Control activities
- Risk management categories
MODULE 8: RISK MANAGEMENT AREAS
- Strategic
- Operations
- Reporting
- Financial
- Health and safety
MODULE 9: COMPLIANCE SUCCESS FACTORS
- ISO compliance management
- Designing a compliance process in line with a Regulatory Authority
- Implementing a compliance program
- Causes of compliance program failing
- Results of compliance failures
MODULE 10: EXTERNAL AUDITS
- Cyber Security
- Capital Expenditures
- Data Governance
- Network Data Integrity
- Data Analytics and Continuous Auditing
- Third-Party Relationships
- Regulatory Process, Implementation and Process Improvement
Instructor
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