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CySEC Regulatory Reporting for Boards: Going Beyond Compliance
- Χρηματοοικ. Ασφαλιστικά Τραπεζικά - Νομοθεσία, Νομική & Δικηγόροι
Αγγλικά
6.00 ώρες
(
2 μέρες
)
ΠΕΡΙΓΡΑΦΗ
The Board of Directors are ultimately accountable for what happens within a Cyprus Investment Firm (CIF) and sign a number of reports for submission to CySEC to this effect. It is important for directors – and those who prepare the reports for directors to sign – to be familiar with the relevant rules and regulations upon which these reports are written, for purposes of approving these reports with integrity and after exercising comprehensive and robust review.
In addition, there will be an emphasis on understanding why the rules and regulations impose a particular operational and reporting regime on the CIF, thus ensuring directors and other people affect are equipped to meet standards and expectations of wider stakeholders.
ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ
- Review of the law and regulations regarding director’s main duties and obligations
- Review and provide a detailed analysis of the regulatory reporting requirements placed on CIF Boards, namely:
- Internal Audit Report
- Risk Management Report
- ICAAP Report
- Compliance Report
- AMLCO Report
- Financial Statements
By the end of the programme, participants will be aware of:
- the main role and the responsibilities of a board of directors of a CIF
- the reports a board of directors of a CIF will need to sign
- the requirements of the rules and regulations pertaining to these reports
- an understanding of the importance of the rules and regulations pertaining to these reports
- insights into the practical challenges – and some possible solutions – to these rules and regulations
- experiences encountered by other members of their cohort for further learning
ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ
The programme is ideal for:
- C-Level Executives and Senior Managers in Investment Firms
- Compliance Officers
- Marketing Managers and Officers
- Sales and Business Development Executives
- Internal Auditors
- Internal Lawyers
- External Auditors, Lawyers and Financial Consultants
ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ
Training Outline
- Role and Responsibilities of the Board of Directors
- An Overview of the Annual Board Submissions
- The Internal Audit Report
- The Risk Management Report
- The ICAAP Report
- The Compliance Report
- The AMLCO Report
- The Financial Statements
Training Style
The training style for this course will be to review the text of the law, rules and regulation but place within the context of why it is required by the regulator in meeting expectations of wider stakeholders.
The trainer will be sharing his own experience of the legal and regulatory regime as a member of a CIF board, but also encouraging other participants to share their own practical insights for enhanced learning.
A discursive style of transferring information will aim to help participants see beyond mere compliance and towards further enhancing their performance and level of professionalism, regardless of their role within in CIF.
CPD Recognition
This programme may be approved for up to 6 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
Πληροφορίες Εκπαιδευτή
Πέτρος Φλωρίδης - President of the Chartered Institute for Securities & Investment (CISI).
Αναλυτικό Κόστος Σεμιναρίου
- € 180.00
- € 0.00
- € 34.20
- € 180.00
- € 214.20
Κοστολογικές Πληροφορίες
HRDA-approved seminars are exempted from VAT for eligible organisations applying for the HRDA subsidy. A 19% VAT will apply to seminars and participants who do not qualify for the HRDA subsidy
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ
Τετάρτη - 29 Νοε 2023
Ώρα
09:00 - 12:15
ΕΚΠΑΙΔΕΥΤΗΣ:
Πέτρος ΦλωρίδηςΤοποθεσία:
OnLine Virtual Classroom
Πέμπτη - 30 Νοε 2023
Ώρα
09:00 - 12:15
ΕΚΠΑΙΔΕΥΤΗΣ:
Πέτρος ΦλωρίδηςΤοποθεσία:
OnLine Virtual Classroom
Εκδήλωση Ενδιαφέροντος : CySEC Regulatory Reporting for Boards: Going Beyond Compliance
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31/01/2025 15:18
Αγγλικά
eLearning
CySEC 15 CPD Bundle 2...
The course includes: The Fund Industry: Latest Regulatory Framework Sustainable Finance Disclosure Regulation (SFDR) and other ESG Initiatives ...
31/01/2025 15:18
Αγγλικά
eLearning
CySEC 10 CPD Bundle 4...
The course includes: European Market Infrastructure Regulation (EMIR) Overview Practical Aspects of the Compliance Function Ethics and Compliance ...
31/01/2025 15:18
Αγγλικά
eLearning
Ethereum Developer...
Description This course on Ethereum developers is designed for programmers and developers who want to take a comprehensive deep dive in writing smart contra...
31/01/2025 15:18
Αγγλικά
eLearning
UCITS - Undertakings for Collective Investments in Transferable Securi...
Description This course offers a comprehensive introduction to the Undertakings for Collective Investments in Transferable Securities (UCITS). It addresses t...
31/01/2025 15:18
Αγγλικά
eLearning
CySEC 20 CPD Bundle 8...
The course includes: Advanced Anti-Money Laundering for Financial Institutions Know your Client (KYC) and Customer Due Diligence (CDD) ICAAP – Interna...
31/01/2025 15:18
Αγγλικά
eLearning
CySEC 20 CPD Bundle 2...
The course includes: Advanced Anti-Money Laundering for Financial Institutions International Economic Sanctions Sustainable Finance Disclosure Regulat...
31/01/2025 15:18
Αγγλικά
eLearning
Corporate Governance for Financial Institutions...
The concept/term Corporate Governance has featured regularly in discussions, both within the professional and academic community, since the 1990s and has become...
31/01/2025 15:18
Αγγλικά
eLearning
Market Abuse Regime (MAR) iLecture...
Market Abuse Regime (MAR) iLecture by Vivienne Bannigan An interactive 90-minute on-demand market abuse workshop. Background The purpose of the mar...
31/01/2025 15:18
Αγγλικά
eLearning
CySEC Advanced Examination Practice and Mock Exams...
Description A set of 6 full Mock & Revision Exams in English for the latest CySEC Advanced Examination Syllabus. ...
31/01/2025 15:18
Αγγλικά
eLearning
Compliance Introduction...
Compliance involves the efforts and programs of an organization to ensure that the business complies with government and industry regulations. If your organizat...
31/01/2025 15:18
Αγγλικά
eLearning
CySEC 10 CPD Bundle 8...
The course includes: Market Abuse Regulation Overview Best Execution Overview Ethics, Integrity and Fairness in Financial Services Digital Operation...
31/01/2025 15:18
Αγγλικά
eLearning
MiFIR iLecture...
MiFIR Transaction Reporting iLecture by Vivienne Bannigan An interactive 90-minute on-demand MiFIR workshop. Background Accurate and complete MiFIR...
31/01/2025 15:18
Αγγλικά
eLearning
Market Abuse Regulation Overview...
This course offers a condensed review of Market Abuse Regulation (MAR). It addresses the characteristics of market abuse and the impact on firms and individuals...
31/01/2025 15:18
Αγγλικά
eLearning
Fundamentals of Risk Management...
Description This course offers a condensed review of risk management, with a specific focus on operational, credit and market risks. The course also covers r...
31/01/2025 15:18
Αγγλικά
eLearning
Approved Persons Regime...
Approved Persons Regime awareness course for all members of firms NOT subject to the Senior Managers & Certification Regime (SM&CR) which came into effect on 7 ...
31/01/2025 15:18
Αγγλικά
eLearning
CySEC Basic Examination Practice and Mock Exams...
Description A set of 2 full Mock Exams in English for the latest CySEC Basic Examination Syllabus. ...
31/01/2025 15:18
Αγγλικά
eLearning
MiFIR Transaction Reporting (5 CPD Units)...
DESCRIPTION MiFID II/MiFIR which came into effect on 3 January 2018, is a new legislative framework which aims to strengthen investor protection and improve th...
31/01/2025 15:18
5.00 ώρες (1 ημέρα)
Αγγλικά
eLearning
Advanced Anti-Money Laundering for Financial Institutions...
An intermediate level course designed both for those in an AML or compliance roles and those looking to embark on a new career in AML. You will gain actionable,...
31/01/2025 15:18
Αγγλικά
eLearning
CISI International Introduction to Investment...
Description The International Introduction to Investment offers a broad introduction to the financial services professional sector, with a specific focus on ...
31/01/2025 15:18
Αγγλικά
eLearning
CySEC 10 CPD Bundle 1...
The CPD bundle includes the following modules – Cybersecurity Awareness, Digital Operational Resilience Act (DORA), and Fundamentals of Environmental, Social & ...
31/01/2025 15:18
Αγγλικά
eLearning
Compliance Monitoring and Testing...
This course explores what to consider when building a compliant Compliance Monitoring programme and how to effectively deliver reports. It considers the FCA’s r...
31/01/2025 15:18
Αγγλικά
eLearning
AIFM - Alternative Investment Fund Managers...
Description This course offers a comprehensive introduction to the Alternative Investment Fund Managers (AIFM). It addresses the application of the AIFM Law,...
31/01/2025 15:18
Αγγλικά
eLearning
Governance, Risk Management and Compliance (4 CPD Units)...
The self-based online training programme provides the participants with a broad range of areas addressed in a Governance, Risk and Compliance (GRC) model. Parti...
31/01/2025 15:18
Αγγλικά
eLearning
Anti-Money Laundering (AML) for Legal Professionals and DNFBPs...
Designated Non-Financial Businesses and Professionals must have in place and implement procedures in order to identity a person (KYC) and also exercise an inves...
31/01/2025 15:18
Αγγλικά
eLearning
CASS iLecture...
CASS iLecture by Vivienne Bannigan This is a 90 minutes interactive iLecture on the In’s and Out’s of the CASS Resolution Pack. Background Since 2010 t...
31/01/2025 15:18
Αγγλικά
eLearning
Practical Aspects of the Compliance Function...
Description This course offers a practical review of the compliance function. It addresses the roles, responsibilities and mission of the compliance officer,...
31/01/2025 15:18
Αγγλικά
eLearning
European Market Infrastructure Regulation (EMIR) Overview...
Description This course offers a comprehensive overview of the EMIR. It addresses the EMIR requirements, the types of counterparties and the clearing obligat...
31/01/2025 15:18
Αγγλικά
eLearning
Anti-Money Laundering and Terrorism Financing Fundamentals...
Effective Anti-Money Laundering (AML) programs – to ensure AML compliance — are a fundamental requirement for obliged entities. Ensuring effective policies, pro...
31/01/2025 15:18
Αγγλικά
eLearning
CySEC 20 CPD Bundle 7...
The course includes: Governance, Risk Management and Compliance Fundamentals of Environmental, Social & Governance (ESG) Reporting & Compliance Ethics...
31/01/2025 15:18
Αγγλικά
eLearning
CySEC 20 CPD Bundle 1...
The course includes: Risk Based Approach (RBA) to Anti Money Laundering AML Suspicious Activity Reports and Suspicious Transaction Reports (SAR/STRs) ...
31/01/2025 15:18
Αγγλικά
eLearning
Insider Dealing and Market Manipulation...
Description This course will provide a comprehensive introduction to the Market Abuse Regulation's definitions on insider information and inside dealing. It ...
31/01/2025 15:18
Αγγλικά
eLearning