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Investment Firms' internal governance under CSSF Circular 20/758 (For PFS Investment Firms)

2 heure(s)

Objectifs

Since 01 January 2021, the CSSF Circular 20/758 replaces Circular 12/552 for investment firms, now applicable only to Banks.

The CSSF Circular 20/758 on central administration, internal governance and risk management has been published by the CSSF on 07 December 2020. It mainly transposes the EBA Guidelines on Internal Governance (EBA/GL/2017/11) and the Joint EBA-ESMA Guidelines on the assessment of the suitability of members the management body and key function holders (EBA/GL/2017/12). It also reinforces the internal governance requirements at all levels of the organization: Board of Directors (including specialized committees), authorised management, internal control functions, support functions, etc. In particular, it strengthened the diversity rules and suitability requirements for Board members and authorised managers and also reinforced the roles and responsibilities of the internal control functions.

After a 1-year tolerance period, Investment Firms are expected to be fully compliance with the provisions of the CSSF Circular 20/758 from 01 January 2022.

By the end of this training, the participants will be able to:

  • Understand the key internal governance requirements for Banks (incl. the roles and responsibilities of the management body, the 3 lines of defence model, etc.).
  • Understand the respective roles and responsibilities of Board members and authorised managers;
  • Understand the main aspects of the suitability assessment of the Board members, authorised managers and key function holders (both collectively and individually);
  • Identify the CSSF expectations regarding the sound and prudent management of the institution;
  • Understand the interactions of the Board and authorised management with other stakeholders within the internal governance framework (internal control functions, external auditor, regulators, etc.).
  • Understand the internal reporting mechanisms.

Contenu

  • The main roles and responsibilities of the Board of Directors and authorised management within the organisation;
  • Obligations of Board members and authorised managers resulting from the CSSF Circular 20/758 (as amended) in terms of organisation, oversight, formalisation, independence, suitability, diversity, etc.;
  • A reminder of the specific role of the chairman, the roles of the specialized committees, the interaction with the authorised management, internal controls function and regulatory authorities, etc.;
  • Roles & responsibilities of the internal control functions and their interactions with the management body;
  • Presentation of the main changes introduced by the CSSF Circular 20/758.

Public cible

A qui s'adresse la formation?

PFS Investment Firms only:

  • Board members
  • Authorised managers
  • Chief Compliance Officers
  • Chief Risk Officers
  • Chief Internal Auditors
  • General secretary

Evaluation

Certificat, diplôme

Certificat de présence

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Caractéristiques
Niveau Avancé
Organisation Formation inter-entreprise
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