C6059 - Compliance function in financial sector
Objectives
- 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.
Prerequisites
Successful completion of the module « Introduction to IFRS: Overview of Key Standards » (C2026) or proof of equivalent certified knowledge.
