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.

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

• 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 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

BTS attendance certificate will be issued to all attendees completing minimum of 75% of the total course duration.

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