Compliance function in financial sector (C6059)

Unternehmensübergreifende Weiterbildung

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Alle Zielgruppen

Dauer

30,00 Stunde(n)

10 weeks, 1 x 3 hours/week

Sprache(n) der Dienstleistung

EN

Voraussetzungen

Successful completion of the module "Introduction to IFRS: Overview of Key Standards" (C2026) or proof of equivalent certified knowledge.

Ziele

  • Gain an insight of the applicable regulations, laws and codes of conduct as issued by the Regulator.
  • See how to deal with compliance issues that the institution might face with new activities and how they assess the impact. 
  • Familiarize with the institutions existing set of regulations, laws and codes of conduct for when broaching new products, activities or new relationships they enter.
  • Gain insight of all the tasks the institution is performing when coping with avoidance of money laundering and terrorist finance requirements.
  • See how the institution performs its regular assessment of its set up of its compliance policy.
  • Gain a view on the issues involved for the institution in case of noncompliance.
  • Understand the difference of the compliance obligation in the PSF, management companies and AIFM in comparison with banks.
  • Understand the difference of the compliance obligation in the PSF, management companies and AIFM in comparison with banks.
  • Understand ethics with regard to investment funds and their origins.

Inhalt

Le contenu est identique aux objectifs d'apprentissage pour cette formation.

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