Code Dates Location Fees Languages Register
AC 135-03 07-Jan - 11-Jan-2018 dubai $4450 english Register Now
AC 135-04 18-Feb - 22-Feb-2018 kuala-lambur $4850 english Register Now
AC 135-05 20-May - 24-May-2018 dubai $4450 english Register Now
AC 135-06 12-Aug - 16-Aug-2018 istanbul $4850 english Register Now
AC 135-07 21-Oct - 25-Oct-2018 dubai $4450 english Register Now
AC 135-08 23-Dec - 27-Dec-2018 london $5200 english Register Now

Overview

The changing regulatory environment has resulted in a growing need for compliance professionals. The ICA Certificate in International Compliance: Provide Compliance Officers and managers with skills that can be immediate is suitable for those new to compliance or in a junior role and will help you develop a good understanding of compliance fundamentals.

Who are the courses suitable for?

  • Compliance employees
  • Employees who have recently been given or aspire to be given compliance responsibilities
  • Those employees with management responsibility for compliance employees
  • Any person who wishes to acquire an understanding of fundamental regulatory compliance principles and how businesses can comply with them

What will you learn?

  • Understanding the Regulatory Environment
  • International Regulation
  • Compliance in Practice
  • Managing the Risk of Money Laundering, Terrorist Financing and Proliferation Financing 
  • Financial Crime Prevention 

Course Outline

What is Compliance?

  • What is Compliance Risk?
  • Why is it important?
  • What are the activities of the Compliance Department?
  • Corporate Governance & Ethics
  • The importance of strong corporate governance
  • Key elements of a corporate governance regime
  • Why do Ethics matter?
  • Role of the Compliance Department in Corporate Governance & Ethics
  • Effective Control Structure
  • Essential elements of a robust organizational structure
  • Risk management
  • Management information
  • Control functions – Compliance & Internal Audit
  • Staff, agents & outsourcing
  • Business continuity
  • Conduct of Business Rules
  • Core COB rules
  • Additional rules for Investment businesses
  • Additional rules for Insurance businesses
  • Conflicts of Interest
  • Definition & Typology
  • Corporate Conflicts
  • Personal Conflicts
  • Gifts & Inducements
  • Chinese Walls & other controls
  • Market Abuse and Insider Dealing
  • Role of Compliance Function
  • Key attributes of a Compliance Officer
  • Compliance advisory function
  • Compliance training and education
  • Compliance Monitoring
  • Compliance manuals and documentation
  • 1 Hour Assessment
  • Multiple Choice Questions
  • Short Answer Questions
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