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Compliance – Fundamentals for the Non-Financial Sector

Law

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Description

Introduction

Compliance – Fundamentals is an essential multi-day training module focusing on the fundamental principles of Compliance and its various applications. Participants gain an in-depth understanding of compliance responsibilities, specific areas of compliance, and the legal provisions governing cooperation with the authorities.

The programme covers key topics such as AML/CTF, governance, customer complaints, data protection, and more. It also addresses the Code of Conduct and the Compliance Function.

The training concludes with a one-hour examination. The sessions are organised into two four-hour sessions, allowing participants to plan their attendance.

Objectives

By the end of this module, participants will:

  • Have a good understanding of the fundamental principles of Compliance and the key areas in which Compliance applies.

  • Be familiar with the Code of Conduct and the legal and practical provisions governing cooperation with the authorities.

Programme

Unit 1

  • Why Compliance? (evolution, governance)

  • What is Compliance? (definition, compliance risks, compliance charter, standards, RBA)

  • International organisations (Basel Committee, EBA, FATF, Wolfsberg Group)

Unit 2

  • Establishing a Compliance Function (principles, compliance requirements)

  • Compliance risks / Roles and responsibilities of the Compliance Function (internal control, compliance framework, role in relation to the Board of Directors, authorised management, employees, the AML/CTF officer, and Compliance)

  • Ethics (Code of Conduct, anti-corruption, whistleblowing arrangements, professional secrecy)

Unit 3

  • AML/CTF (Anti-Money Laundering and Counter-Terrorist Financing)

  • International sanctions / Proliferation financing

  • Fraud

Unit 4

  • Data protection

  • Customer protection

  • Conflicts of interest

  • Whistleblowing arrangements

  • Remuneration

Target audience

This training is intended for professionals in the non-financial sector (notaries, lawyers, accountants, real estate agencies, commercial companies, etc.) who wish to acquire a basic understanding of Compliance.

Conditions

Support de cours

Pour des raisons de respect de l'environnement veuillez noter qu'aucun support papier ne vous sera fourni lors de votre formation. Votre support de cours peut être téléchargé gratuitement avant le début du cours via notre portail client (télécharger ici le guide du portail client). Vous pourrez ainsi le consulter sur l’écran de votre appareil mobile ou l'imprimer en cas de besoin. Si votre inscription a été effectuée par un responsable formation de votre entreprise veuillez le contacter pour qu'il puisse vous y donner accès ou vous l'envoyer.

Certificat

At the end of the training course, participants will be able to download a certificate of attendance issued by the House of Training from the learner portal.

Lieu
Chambre de Commerce Luxembourg
7, rue Alcide de Gasperi
L-1615 Luxembourg
Luxembourg
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Sessions and schedules

Duration 0H

Location Chambre de Commerce Luxembourg

  • Thu 12.11.2026 08:45 to 08:45
  • Thu 03.12.2026 08:45 to 08:45
  • Thu 10.12.2026 08:45 to 08:45
  • Thu 14.01.2027 08:45 to 08:45
  • Tue 19.01.2027 08:45 to 08:45
  • Thu 21.01.2027 08:45 to 08:45
  • Tue 26.01.2027 08:45 to 08:45
  • Thu 28.01.2027 08:45 to 08:45
  • Tue 02.02.2027 08:45 to 08:45
  • Thu 04.02.2027 08:45 to 08:45
  • Tue 16.02.2027 08:45 to 08:45
  • Tue 23.02.2027 08:45 to 08:45
  • Thu 25.02.2027 08:45 to 08:45
  • Tue 02.03.2027 08:45 to 08:45
  • Thu 04.03.2027 08:45 to 08:45
  • Tue 09.03.2027 08:45 to 08:45
  • Tue 16.03.2027 08:45 to 08:45
  • Thu 18.03.2027 08:45 to 08:45
  • Tue 23.03.2027 08:45 to 08:45
  • Tue 13.04.2027 08:45 to 08:45
  • Thu 15.04.2027 08:45 to 08:45
  • Tue 20.04.2027 08:45 to 08:45
  • Tue 27.04.2027 08:45 to 08:45
  • Thu 29.04.2027 08:45 to 08:45
  • Tue 04.05.2027 08:45 to 08:45
  • Tue 11.05.2027 08:45 to 08:45
  • Thu 13.05.2027 08:45 to 08:45
  • Tue 18.05.2027 08:45 to 08:45
  • Tue 25.05.2027 08:45 to 08:45
  • Thu 27.05.2027 08:45 to 08:45
  • Tue 08.06.2027 08:45 to 08:45
  • Thu 10.06.2027 08:45 to 08:45
  • Tue 15.06.2027 08:45 to 08:45
  • Tue 22.06.2027 08:45 to 08:45
  • Thu 24.06.2027 08:45 to 08:45
  • Tue 29.06.2027 08:45 to 08:45
  • Tue 06.07.2027 08:45 to 08:45
  • Thu 08.07.2027 08:45 to 08:45
  • Tue 13.07.2027 08:45 to 08:45
  • Thu 15.07.2027 08:45 to 08:45
  • Thu 16.09.2027 08:45 to 08:45
  • Tue 21.09.2027 08:45 to 08:45
  • Tue 28.09.2027 08:45 to 08:45
  • Thu 30.09.2027 08:45 to 08:45
  • Tue 05.10.2027 08:45 to 08:45
  • Thu 07.10.2027 08:45 to 08:45
  • Tue 12.10.2027 08:45 to 08:45
  • Tue 19.10.2027 08:45 to 08:45
  • Tue 26.10.2027 08:45 to 08:45
  • Thu 28.10.2027 08:45 to 08:45
  • Tue 02.11.2027 08:45 to 08:45
  • Thu 04.11.2027 08:45 to 08:45
  • Tue 09.11.2027 08:45 to 08:45
  • Tue 23.11.2027 08:45 to 08:45
  • Thu 25.11.2027 08:45 to 08:45
  • Tue 30.11.2027 08:45 to 08:45
  • Thu 02.12.2027 08:45 to 08:45
  • Tue 07.12.2027 08:45 to 08:45
  • Tue 14.12.2027 08:45 to 08:45
  • Thu 16.12.2027 08:45 to 08:45