UK Europe EMEA GCC Time Zones
CPEs: 24
Instructor: Risk Reward Faculty
Level: Intermediate
Tuition: £2,995.00
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NEW Regulation and Compliance RR1234

Location: UK Europe EMEA GCC Time Zones

First Date: June 18 - 20 2024

Duration: 3 days

Programme Director: Risk Reward Faculty

All Dates & Locations
Venue Details

Experience the highly-interactive expert-led social learning through Virtual Classroom via Cisco WebEx from Risk Reward.

All our 2024 Live, on-site and Live Virtual Classroom events feature shared (or discrete) live chat between delegates and the expert, participate in topical surveys, polling questions, group exercises and case studies for a tried -and- true engaging and gratifying learning experience.

Need to bring this course in house, train your team or 1:1? Simply contact us for significant cost savings and dates best suited to meet your specific needs.

Agenda Highlights

Session 1:  The International Challenge

Session 2:  Key Compliance Cases and Lessons from Major Disasters

Session 3:  Compliance Risk Management

Session 4: Global Financial Services Regulation

Session 5:  Key Structural Compliance Requirements

Session 6:  Key Compliance Requirements

Session 7:  Key Compliance Requirements

Session 8:  Ensuring International Compliance

Session 9:  Reporting and Monitoring

Session 10: The Future of Regulation

Session 11: Summary, discussion, and Q&A


This intermediate level course addresses key international compliance issues and their control on a global basis, developed using practical real-life global experience and published examples. Delegates will explore the controls and solutions that should be implemented in practice and the problems that are likely to occur.

Who Should Attend
  • Compliance officers
  • Internal Audit
  • Legal Functions
  • Regulators
  • External Audit

Additional Course Information

What Does It Cover?

Session 1:  The International Challenge

  • What is compliance risk?
  • How to implement global compliance rules
  • The role of the compliance department and the Head of Compliance
  • The key compliance challenges and how they are changing
  • Global market turbulence and its impact on compliance
  • How do compliance risks differ from the risks that are generally faced by the Bank?
  • What is the general approach to be adopted towards the management of compliance risk?

Case Study:  Consider the total portfolio of compliance risks within a major financial institution.  Which of these will typically be managed within a compliance function?  How are other compliance risks addressed?

Session 2:  Key Compliance Cases and Lessons from Major Disasters

In this session a series of recent and historic financial cases will be considered to highlight the importance of compliance issues within a firm.  These will include, but not be limited to, the following:

  • Recent cases from the FCA
  • Recent cases from the SEC
  • Other public cases highlighting specific compliance failures

This session features a series of case studies identifying failures in compliance where delegates will identify the nature of the failure and the controls that would be required to prevent recurrence.

Case Studies:  Consider the specific compliance cases which include examples of misspelling, failure to provide accurate reports, supervision failures and money laundering deterrence failures.  In each case consider what are the real issues that arise and the controls which would be appropriate to address such issues.

Session 3:  Compliance Risk Management

  • What are the key compliance risks faced by the firm?
  • What are the latest compliance requirements and which really matter?
  • How to develop a compliance risks register
  • Relationship to the global bank risk register
  • How to improve compliance with policies and procedures
  • How to notify staff of changing requirements
  • Monitoring compliance

Case Study:  How can you assess compliance risk?  Are all compliance risks the same and which are of greatest importance to the CEO?  Which of the key risks concerning the CEO are compliance risks and how should these be controlled?

Session 4: Global Financial Services Regulation

  • The role of the Bank for International Settlements, key papers and compliance
  • The relationship to local regulation
  • The role of ISDA, the review of documentation and the role of compliance
  • The role of FATF and its impact on international compliance
  • The impact of Dodd-Frank on compliance
  • The relationship between the compliance function and the legal function
  • The problems of changing European regulation
  • How to predict what might happen?
  • The impact of changing regulation on the business model of a bank
  • The role of compliance in strategy

Discussion Session:  Given the high level of change within the regulatory environment how will this be communicated to the business and what should compliance do to ensure that appropriate systems and controls are implemented?

Session 5:  Key Structural Compliance Requirements 

  • The role of the compliance officer
  • The development of a compliance manual
  • The training requirements
  • Recording Training and Competence
  • Matching skills to roles
  • Senior Management roles

Case Study:  Develop an outline compliance manual to address key global compliance requirements.  Delegates will be provided with sample materials to consider for accuracy and completeness.

Session 6:  Key Compliance Requirements 

Primary compliance requirements will be considered.  Key requirements will be addressed and the controls appropriate to mitigate the risk considered.

  • Know your customer
  • Firewalls (‘Chinese walls’)
  • Insider trading
  • Off Market Transaction
  • Money laundering deterrence
  • High risk customers
  • Politically Exposed Persons

Case Study:  Consider the relevant compliance areas and design appropriate scenarios that might be of specific concern.  Then identify controls to provide assurance that losses will be controlled.

Session 7:  Key Compliance Requirements 

Selected compliance areas will be considered, with a focus on their basic requirements and the controls to mitigate risk.

  • Advertisements
  • Customer documentation requirements
  • Front Running
  • Churning
  • New Business compliance procedures
  • Non-Standard Contracts
  • Black Lists
  • Staff Dealing Rules
  • Outsourcing and third party risks
  • Data regulation
  • Customer requirements

Case Study:  Consider the controls that would be appropriate to reduce the incidence of loss from such areas.

Session 8:  Ensuring International Compliance

  • Bank capital requirements
  • The impacts and problems of home host regulation
  • How regulation changes throughout the world
  • The role of management
  • The relationship to legal, internal audit and external audit
  • USA, U.K. and EU regulatory issues

Discussion Session:  What are the key challenges faced by compliance in dealing with international regulation – how will local compliance and international expectations be resolved?

Session 9:  Reporting and Monitoring

  • What are the key risk indicators for compliance?
  • How should compliance risk be reported to:
  • The Board
  • The Risk Management function
  • What level of on-going monitoring should be conducted
  • What should be included in an annual compliance review?
  • Should compliance be audited and if so how and by whom?

Case Study:  Develop a specimen outline compliance annual report.  For an example compliance report provided consider whether the contents appear to be adequate and complete.  How would you improve it and what are the barriers to producing such a report?

Session 10: The Future of Regulation 

Session 11: Summary, discussion, and Q&A

Learning Objectives

Participants will be able to understand the key aspects of global regulation and compliance and its implications for a financial institution.

Delegates who complete the course will receive a Certificate with equivalent CPD/CPE credits via email; and for those who require an assessment as a demonstration of competency via training a 20 multiple-choice questions and answers quiz, remotely invigilated with results report and 1 resit, is available at no additional charge when requested at time of reservation.

Social Learning & Methods

Highly interactive expert-led intensive presentation, Q&A, group real-time in-depth case studies, regulation and discussion supported by key principles and theory. The virtual learning platform uses safe, industry preferred encrypted Cisco WebEx to optimize live face-to-face visual interaction, discrete chat, for polling and quizzes.

(An invitation via email with access link is included for all participants.)


NEW Regulation and Compliance

Course Fee

Apply 10% discount code RISK10 by December 15, 2023 at check-out

Course Fee (per person):
GBP £2,995.00 (+ UK VAT when applicable)

Number of delegates:

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