Compliance function in financial sector (C6059)

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

• 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.

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