Compliance (specific): Compliance for Directors and Conducting Officers
The course highlights the role and responsibilities of any director or conducting officer (targeted audience) with regards to regulatory obligations.
This specific module is NOT eligible for the Professional Certificate of Competency in Compliance.
- Basic principles of compliance
- Roles and responsibilities of directors and conducting officers regarding compliance matters
- How to spread a compliance culture within a financial institution?
- Case studies
- Key compliance and regulatory trends