Compliance - Fundamentals

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This training is intended for a varied target audience, i.e. anyone wishing to acquire basic knowledge in Compliance.

Dauer

10,00 Stunde(n)

Sprache(n) der Dienstleistung

EN

Nächster Termin

05.01.2026
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Ort
Luxembourg

Preis

280,00€

Ziele

Compliance - Fundamentals is an essential training unit lasting several days, focusing on the core principles of Compliance and its diverse applications. Participants gain a thorough understanding of compliance responsibilities, specific areas, and legal dispositions pertaining to cooperation with authorities. The program encompasses key topics such as AML/CTF, MiFID, Market Abuse, Customer Complaints, Data Protection, and more. The course also covers the Code of Conduct and the Compliance Function. The exam, lasting 1 hour, concludes the comprehensive learning experience. Sessions are organized in 2, 4, or 8-hour blocks, allowing flexibility for participants to plan their attendance.
This training is in blended-learning, meaning that you will receive an access, 5 days prior to the course, to a preparatory e-learning course.

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.

Inhalt

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

Nächster Termin

Datum
Stadt
Sprache und Preis
05.01.2026

14.01.2026
Luxembourg
EN 280,00€
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15.01.2026

16.01.2026
Luxembourg
EN 280,00€
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03.03.2026

12.03.2026
Luxembourg
EN 280,00€
Details anzeigen
23.04.2026

24.04.2026
Luxembourg
EN 280,00€
Details anzeigen
02.06.2026

11.06.2026
Luxembourg
EN 280,00€
Details anzeigen

Zusätzliche Informationen

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 by clicking on “Sessions et horaires”.

Kontakt für diese Weiterbildung

House of Training

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