• Icon Sur demande
  • Icon
  • icon Cours du jour
  • Icon English
  • Icon BQ184CJ
*Prix d'inscription de base, variable selon options choisies.

Objectives


At the end of this module, participants will have a basic understanding of the fundamental principles of Compliance and the key areas in which Compliance is applied. They will be familiar with the code of conduct as well as with the legal and practical provisions governing cooperation with the authorities.

Programme


The program of this basic course is composed of 4 specific topics, each subject to a session of +/- 1 hour:

  • Unit 1 and 2 - Fundamentals of Compliance
    • Objectives
    • Definition of Compliance and 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 the authorities
    • FATCA...
  • Unit 3 - Elements on the Code of Conduct
  • Unit 4 - The Compliance Function

    Target audience


    Back-office employees at Depositary bank (ie. Depositary bank agents).

     

    Certification


    Only available as part of the Depositary Bank Certification

    Course material


    The course material will be delivered at the beginning of the course, in English version.

    Vous souhaitez rester à jour sur notre offre de formation ?

    Vous avez une question ?
    Nous avons des réponses !