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Financial Regulation and Compliance
- Χρηματοοικ. Ασφαλιστικά Τραπεζικά - Νομοθεσία, Νομική & Δικηγόροι
Αγγλικά
10.00 ώρες
(
2 μέρες
)
ΠΕΡΙΓΡΑΦΗ
The regulatory framework pertaining to the financial and professional services sector is constantly changing, and new regulations, as well as updates to existing regulations, directives and other obligations are constantly being introduced. This continuous influx of regulations comes from many sources, including the local and European Union regulators, EU and Central Bank, as well as from other international standard setting bodies.
Professionals working in the financial sector, and/ or within the compliance function, need to implement and adhere to these new regulations on a constant basis, and to do so they need to receive the relevant training and updates. Firms within the financial and professional services sector, therefore, find themselves having to anticipate all these requirements with enhanced personnel training and the upgrade of existing internal control mechanisms to face, as efficiently as possible, the new challenges that may lead to a change of their entire business model.
In view of the above, many Cyprus companies operating within the financial industry, are registered under regulatory and controlling bodies, like CySEC, which revise, amend, and enforce new regulations. It is, therefore, compulsory that certified employees need to undergo annual training to be fully aware of the latest regulatory framework that they must operate in, as well as to satisfy the CPD requirements by CySEC.
ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ
- Describe the objectives & roles of regulation
- Identify the significance of Compliance
- Describe the responsibilities of compliance
- Describe the need for Regulation and its application to an organization
- List the major regulatory requirements deriving from MiFID II, AML, and EMIR
- Identify newly implemented laws for the sector such as the Sustainable Finance Directive & Regulation (SFDR) and the SFTR reporting requirements
- Name and describe the Financial Services Industry regulatory framework
- Name European Union Directives
- Describe upcoming compliance and risk challenges faced by organizations
- Develop a good understanding of compliance principles
- Perform the regulatory requirements for onboarding a client
- Develop the skills to generate a risk-based monitoring schedule
- Defend the concept of Compliance and the efforts being made to manage the risk related to it
- Explain the upcoming regulations and directives emanating from the EU
- Explain the implemented standards coming from international standard setting bodies
- Develop the skills to implement regulatory changes
- Explain the Financial Services Industry regulatory framework
- Explain Regulatory Infrastructure
- Explain European Union Directives
- Defend Professional Ethics
- Defend Professional Integrity
- Motivate the adherence to regulatory requirements and updates
- Appraise the importance of Compliance
- Criticise non-compliance and non-adherence to current regulatory requirements
- Defend the organization’s reputation
ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ
- Compliance Officers / Managers and their Deputies
- Managers with responsibility for internal compliance controls
- Legal, Audit, Risk, Operations and IT Specialists
- Risk Managers
- Staff working in risk functions
- Internal & External Audit Staff
- Regulatory Representatives
- AML Officers
- Accountants
- Lawyers
ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ
Training Outline
The Regulatory Environment and the Role of the Regulator
- An Overview of the Regulatory Environment
- The Objectives of Financial Services Regulation
- International Regulation
- The Role of the Regulators
- What do the Regulators expect?
- An Investment Firm’s roles and responsibilities towards their clients
Compliance and Risk
- Compliance Structure
- The Role of the Board of Directors, the Supervisors, the Internal and External Auditors
- Responsibilities of the Compliance Officer
- Key Compliance Activities and Processes
- Understanding a Risk Management Approach
- Creating a Risk Management Approach
- The Need for Internal Controls
The Regulatory Infrastructure of Cyprus and EU financial services
- CySEC and ESMA regulations and directives
- Regulatory principles
- Statutory objectives
- Structure
- Powers and activities
- The scope of authorisation and regulation
- Support for Regulatory Framework
Regulatory Framework & Reporting Obligations
- Provisions of the Law and CySEC Requirements / Expectations
- Practices that are not compliant with the law according to CySEC
- Marketing Compliance
- EMIR
- CRS / FATCA
- SFDR
- SFTR Reporting
- MiFID II
- MiFIR
- Pillar II
- PRIPS/KID
Compliance and Risk Functions in Practice
- Factors to be Considered in Designing a Compliance System
- Developing an Internal Compliance System
- Implementing and Communicating Internal Compliance Arrangement
- Establishing Policies and Procedures
- Creating a Compliance Monitoring Programme
- The Need for Independence
- Record Keeping / Compliance Reports
- Managing the Regulators and Change in Regulations
Training Style
The programme is designed to deliver knowledge and enhance participants’ skills via short lectures on the relevant legislations and guidelines, as well as case-studies, practical examples, and real-life simulations/scenarios. Most of the training will focus in enhancing the participants’ knowledge on the topic of risk management and stress testing. Participants will also benefit from customised feedback throughout the course, and take away the knowledge gained to be transferred at their workplace.
CPD Recognition
This programme may be approved for up to 10 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
This training course may be approved as an external activity under the new ACAMS recertification category ”non-ACAMS credits” for up to 10 CPD units. Eligibility criteria and CPD Units are verified directly by the Association of Anti-Money Laundering Specialists (ACAMS). To read more about the non-ACAMS credits policies and eligibility criteria please click here.
Trainers
Adonis Pegasiou & Kyriakos Christofides
Πληροφορίες Εκπαιδευτή
Άδωνης Πηγασίου - Academic Director at European Institute of Management and Finance (EIMF)
Αναλυτικό Κόστος Σεμιναρίου
Για Δικαιούχους ΑνΑΔ
- € 420.00
- € 200.00
- € 0.00
- € 220.00
- € 220.00
Για μη-Δικαιούχους ΑνΑΔ
- € 420.00
- € 0.00
- € 79.80
- € 420.00
- € 499.80
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ
Τρίτη - 09 Απρ 2024
Ώρα
14:00 - 19:30
ΕΚΠΑΙΔΕΥΤΗΣ:
Άδωνης ΠηγασίουΤοποθεσία:
OnLine Virtual Classroom
Εκδήλωση Ενδιαφέροντος : Financial Regulation and Compliance
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eLearning
CySEC 10 CPD Bundle 7...
The course includes: International Economic Sanctions Know your Client (KYC) and Customer Due Diligence (CDD) Training Duration ...
31/01/2025 09:29
Αγγλικά
eLearning
The Fund Industry: Latest Regulatory Framework...
Description This course offers a comprehensive introduction to AIF, AIFM, AIFMD, and UCITS. It addresses the various categories and legal forms of AIFs, the ...
31/01/2025 09:29
Αγγλικά
eLearning
CySEC 15 CPD Bundle 4...
The course includes: Fundamentals of Environmental, Social & Governance (ESG) Reporting & Compliance Financial Crime Risk Management Digital Operation...
31/01/2025 09:29
Αγγλικά
eLearning
Financial Promotion and Marketing Compliance...
Description This course examines the role of the regulatory framework and competent authorities in countries such as the UK, Malta, the US, Cyprus and German...
31/01/2025 09:29
Αγγλικά
eLearning
AIF - Alternative Investment Funds...
Description This course offers a comprehensive introduction to the Alternative Investment Funds (AIF). It addresses national and EU issues, reflecting the le...
31/01/2025 09:29
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 09:29
Αγγλικά
eLearning
Certified Ethical Hacker...
A Certified Ethical Hacker (CEH) is a skilled professional who understands and knows how to look for weaknesses and vulnerabilities in target systems and uses t...
31/01/2025 09:29
Αγγλικά
eLearning
EKK (CySEC) Ερωτήσεις Προετοιμασίας Βασικής Εξέτασης...
Περιγραφή Τρεις (3) Εξετάσεις Ποετοιμασίας για τη Βασική Εξέταση της Επιτροπής Κεφαλαιαγοράς Κύπρου (ΕΚΚ) στα Ελληνικά.. ...
31/01/2025 09:29
Ελληνικά
eLearning
Product Governance, Suitability and Appropriateness (5 CPD Units)...
DESCRIPTION The product governance regime aims to ensure that firm’s act in a client’s best interests, including funds and related management services, to en...
31/01/2025 09:29
Αγγλικά
eLearning
Certificate in KYC and CDD...
KYC/CDD is a critical element for effectively managing the risks posed by potential clients (thus protecting the organization against criminals, terrorists, and...
31/01/2025 09:29
Αγγλικά
eLearning
IGCA Certificate in AML...
The IGCA’s AML Certificate’s Curriculum IGCA’s AML Certificate covers the following specific topics: – Money laundering methods, techniques, red flags and...
31/01/2025 09:29
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 09:29
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 09:29
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 09:29
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 09:29
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 09:29
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 09:29
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 09:29
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 09:29
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 09:29
5.00 ώρες (1 ημέρα)
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 09:29
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 09:29
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 09:29
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 09:29
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 09:29
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 09:29
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 09:29
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 09:29
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 09:29
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 09:29
Αγγλικά
eLearning