Banques et Finance
Compliance - Fundamentals
This course might be scheduled over several days. Please check the planning for details.
Please note that the exam durates 1 hour.
Kindly note that the « Compliance » modules have a duration of 8 hours and are organized either during the day or in the evenings. Please be aware that courses are set up in sessions of 2, 4 or 8 hours. Please make sure to download the exact planning by clicking on “télécharger le planning”.
At the end of this training unit, the participants will have a good understanding of the fundamentals of Compliance and the specific areas in which Compliance is applicable. They will become acquainted with the code of conduct as well as with the legal and practical dispositions regulating the cooperation with the authorities.
The programme of the fundamental module is composed of 4 general topics, each one being dealt with in +/- 2-hour units
- 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