Cette formation est proposée sous forme de formation présentielle.

Description

Introduction

Compliance - Fundamentals is an essential training unit lasting several days, focusing on the core principles of Compliance and its diverse applications. Participants gain a thorough understanding of compliance responsibilities, specific areas, and legal dispositions pertaining to cooperation with authorities. The program encompasses key topics such as AML/CTF, MiFID, Market Abuse, Customer Complaints, Data Protection, and more. The course also covers the Code of Conduct and the Compliance Function. The exam, lasting 1 hour, concludes the comprehensive learning experience. Sessions are organized in 2, 4, or 8-hour blocks, allowing flexibility for participants to plan their attendance.  

This training is in blended-learning, meaning that you will receive an access, 5 days prior to the course, to a preparatory e-learning course.

Important Information

This course might be scheduled over several days. Please check the planning for details.  

Please note that the exam lasts 1 hour.

Objectives

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.

Programme

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
    • 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
Dates

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 “Sessions et horaires”.

Target audience

This training is intended for a varied target audience, i.e. anyone wishing to acquire basic knowledge in Compliance.


Conditions

Course Material

Please note that for environmental reasons no paper version of the training material will be provided for your training. The course material can be downloaded free of charge via your portal before the start of the course (download the Client Portal User’s Guide here). You will be able to view it on the screen of your mobile device or print it if necessary. If your registration has been made by a training manager of your company please contact him/her so that he/she can give you access to it or send it to you.

Location
Classe virtuelle
A distance
Calculate the itinerary

Sessions et horaires

Télécharger le planning (PDF)

  • Mon 30.09.2024

    08:30 à 12:30

    4H

    Compliance - Fundamentals

    Chambre de Commerce Luxembourg

  • Thu 03.10.2024

    08:30 à 12:30

    4H

    Compliance - Fundamentals

    Chambre de Commerce Luxembourg

  • 2H

    The fundamentals of compliance

    E-learning

Télécharger le planning (PDF)

  • Tue 05.11.2024

    17:30 à 19:30

    2H

    Compliance - Fundamentals

    Chambre de Commerce Luxembourg

  • Thu 07.11.2024

    17:30 à 19:30

    2H

    Compliance - Fundamentals

    Chambre de Commerce Luxembourg

  • Tue 12.11.2024

    17:30 à 19:30

    2H

    Compliance - Fundamentals

    Chambre de Commerce Luxembourg

  • Thu 14.11.2024

    17:30 à 19:30

    2H

    Compliance - Fundamentals

    Chambre de Commerce Luxembourg

  • 2H

    The fundamentals of compliance

    E-learning

Durée 1H

Lieu Chambre de Commerce Luxembourg

  • jeu. 27.06.2024 08:45 à 11:45
  • mar. 02.07.2024 08:45 à 11:45
  • mar. 17.09.2024 08:45 à 11:45
  • mar. 24.09.2024 08:45 à 11:45
  • jeu. 26.09.2024 08:45 à 11:45
  • mar. 01.10.2024 08:45 à 11:45
  • mar. 08.10.2024 08:45 à 11:45
  • mar. 15.10.2024 08:45 à 11:45
  • mar. 22.10.2024 08:45 à 11:45
  • jeu. 24.10.2024 08:45 à 11:45
  • mar. 05.11.2024 08:45 à 11:45
  • mar. 12.11.2024 08:45 à 11:45
  • mar. 19.11.2024 08:45 à 11:45
  • mar. 26.11.2024 08:45 à 11:45
  • jeu. 28.11.2024 08:45 à 11:45
  • mar. 03.12.2024 08:45 à 11:45
  • mar. 10.12.2024 08:45 à 11:45
  • mar. 17.12.2024 08:45 à 11:45
  • jeu. 19.12.2024 08:45 à 11:45