Compliance - Fundamentals (virtual classroom)

À qui s'adresse la formation?

Tout public

Durée

8,00 heure(s)

Langues(s) de prestation

Prochaine session

Objectifs

At the end of this training unit, the participants will have a good understanding of the fundamentals of Compliance and the specific areas in which Compliance is applicable. They will become acquainted with the code of conduct as well as with the legal and practical dispositions regulating the cooperation with the authorities.

Contenu

The programme of the fundamental module is composed of 4 general topics, each one being dealt with in +/- 2-hour units

Unit 1 and 2 - Fundamentalsof Compliance

Objectives
Definition of Complianceand responsibilities
Specific Compliance areas
Some key areas
AML / CTF
MiFID
Market Abuse (Insider Dealing& Market Manipulation)
Customer Complaints
Data Protection
Professional Secrecy
Fraud
Whistleblowing
Code of Conduct
Remuneration Policy
Conflict of Interests
Cooperation with theauthorities
FATCA...

Unit 3 - Elements on theCode of Conduct
Unit 4 - The ComplianceFunction

Informations supplémentaires

This course might be scheduled over several days. Please check the planning for details.

Please note that the exam lasts 1 hour.

Kindly note that the "Compliance" modules have a duration of 8 hours and are organized either during the day or in the evenings. Please be aware that courses are set up in sessions of 2, 4 or 8 hours. Please make sure to download the exact planning.