The Financial Services Promotion Agency (FSPA) is organising a 1 day Industry Sector Specific Training by Mr Stephen Platt
Understanding Compliance
What is compliance? Who is responsible for compliance? How can your organisation implement good compliance practice? These and other important questions are answered on this unique, highly interactive training day which is designed to equip trainees with the ability to begin to design an internal compliance framework.
There are four Training Days, one for each of the following industry sectors:
Workshop 1
Target Audience: Insurance Sector
Date:
Time: 09:00Hrs – 17:00Hrs (including breaks & lunch)
Venue: Le Sirius, 1st Floor
Labourdonnais Waterfront Hotel
Fee/Participant: Rs 6,000
Workshop 2
Target Audience: Global Business/Management Companies
Date:
Time: 09:00Hrs – 17:00Hrs (including breaks & lunch)
Venue: Le Sirius, 1st Floor
Labourdonnais Waterfront Hotel
Fee/Participant: Rs 6,000
Workshop 3
Target Audience: Securities/Stockbroking
Date:
Time: 09:00Hrs – 17:00Hrs (including breaks & lunch)
Venue: Le Sirius, 1st Floor
Labourdonnais Waterfront Hotel
Fee/Participant: Rs 6,000
Workshop 4
Target Audience: Banking Sector
Date:
Time: 09:00Hrs –
Venue: Le Sirius, 1st Floor
Labourdonnais Waterfront Hotel
Fee/Participant: Rs 6,000
The training will differ according to individual industry sectors
Training Content
Defining Responsibility for Compliance
- The role of the senior management
- The role of a compliance department
- The role of business units/client facing staff
- Achieving effective corporate governance through good compliance practice
Analysing the Role of the Compliance Officer
- The Key Skills and Attributes of an Effective Compliance Officer
- The duties of the Compliance Officer
- Managing Internal and External Relationships
- Reporting Lines
Constructing an Effective Risk Control Framework
- Analysing legal and regulatory rules
- Identifying and mapping risks
- Designing controls and procedures
- Compliance monitoring and testing programs
- Generating management information
Creating an Effective Compliance Culture
- Recognising cultural barriers
- Overcoming cultural barriers
- Staff training
- Understanding human factors in risk management
Training Format
· Full day training sessions
· Use of Multi Media and Video
· Highly interactive
· Extensive use of case studies and generation of group discussion
· Table top group exercises
* Please note that MQA approval is in process for this training and you will be advised once approval is granted.
* Please complete the appropriate registration form and send us by fax or mail by latest
