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.
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
- Definition of Compliance and responsibilities
- Specific Compliance areas
- Some key areas
- AML / CTF
- Market Abuse (Insider Dealing & Market Manipulation)
- Customer Complaints
- Data Protection
- Professional Secrecy
- Code of Conduct
- Remuneration Policy
- Conflict of Interests
- Cooperation with the authorities
- Unit 3 - Elements on the Code of Conduct
- Unit 4 - The Compliance Function
Back-office employees at Depositary bank (ie. Depositary bank agents).
Only available as part of the Depositary Bank Certification
The course material will be delivered at the beginning of the course, in English version.