CHATCOMPLIANCE

This online course teaches fundamentals of compliance, strategies to combat financial crimes, and methods for effective internal governance. It further explores crucial issues like financialconduct, anti-bribery, and data protection mechanisms. Ideal for finance professionals and auditors, the course ensures an understanding of the modern compliance landscape in thefinancial sector.   What you will Learn ?   Starting from the fundamentals …

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Category

Regulatory Compliance

Created By CHATCOMPLIANCE Luxembourg

, Last Updated

February 23, 2024

, Course Duration

23 hours

 

This Lesson Access

23 written lessons ( available for download )

11.5 hours

Access on mobile and desktop

Certificate of completion

This online course teaches fundamentals of compliance, strategies to combat financial crimes, and methods for effective internal governance. It further explores crucial issues like financial
conduct, anti-bribery, and data protection mechanisms. Ideal for finance professionals and auditors, the course ensures an understanding of the modern compliance landscape in the
financial sector.

 

What you will Learn ?

 

Starting from the fundamentals of what compliance is and the risks associated, the course progresses to the roles and responsibilities in ensuring compliance and combating financial crimes within international bodies promoting these norms. You will learn the intricacies of enhancing internal governance through the Three Lines of Defense Model and master the creation and application of an effective compliance framework including policy and charter. Key modules will explore the concept of financial conduct, anti-bribery, corruption, professional secrecy, and the necessity of Anti-Money Laundering/Counter Financing Terrorism mechanisms. The course will delve into understanding financial crimes like money laundering, tax offences, and fraud, examining their penalties, implications and prevention measures. It will also detail the international financial sanctions, FATCA, CRS, EMIR, Market abuse, and MiFID with their impacts on financial markets. The significance of managing conflicts of interest, safeguarding data protection and promoting whistleblowing is covered in depth. Finally, you will learn about the remuneration policy in the financial sector, its guidelines and regulations.

 

Who this course is for:

 

This course is designed for participants who wish to advance their expertise and knowledge of compliance in the international financial sector. Perfect for those working in the financial sector,
particularly in fields such as compliance, risk management, audit, legal, and governance. Whether you are new to this field or an expert refreshing your knowledge, this course will offer you an extensive understanding of the financial sector compliance landscape.

Course Content

  • Genesis of Compliance in The International Financial Sector FREE 00:30:00
  • What is Compliance? FREE 00:30:00
  • Governance aspects for investment funds 00:30:00
  • Compliance Risk 00:30:00
  • International Bodies Promoting Compliance 00:30:00
  • Enhancing Internal Governance: The Three Lines of Defense Model 00:30:00
  • Roles and Responsibilities in Ensuring Compliance and Combating Financial Crime 00:30:00
  • Compliance Framework: Policy and Charter 00:30:00
  • A Comprehensive Code of Ethics 00:30:00
  • Anti-Bribery and Corruption 00:30:00
  • Professional Secrecy: Confidentiality in The Financial Sector 00:30:00
  • AML/CFT (Anti-Money Laundering/Counter Financing Terrorism): Safeguarding Financial Systems 00:30:00
  • The AML Framework: A Risk-Based Approach to Combat Money Laundering and Terrorist Financing 00:30:00
  • Tax Offences: Understanding the Penalties and Implications 00:30:00
  • Understanding Fraud: Types, Elements, and Prevention Measures 00:30:00
  • International Financial Sanctions: Safeguarding Security and Addressing Compliance Challenges 00:30:00
  • Understanding FATCA and CRS in International Tax Compliance 00:30:00
  • EMIR: European Market Infrastructure Regulation Explained 00:30:00
  • Market Abuse: Regulatory Background and Prohibited Activities 00:30:00
  • MiFID Basic Principles and Impacts on Financial Markets 00:30:00
  • Conflicts of Interests: Managing Financial Institution’s Obligations 00:30:00
  • Data Protection: Safeguarding Privacy and Personal Information 00:30:00
  • Whistleblowing: Shining a Light on Wrongdoing and Upholding Public Interest 00:30:00
  • Understanding Remuneration Policy in the Financial Sector: Key Guidelines and Regulations 00:30:00

Teaching method

Financial Industry Experts, 4k+ followers on Linkedin

 

This course applies a blend of expert knowledge and advanced technology. Lessons are meticulously designed by top professionals from both Luxembourg and international financial sectors, utilizing their extensive expertise. To supplement and enrich the content, advanced tools like artificial intelligence (AI) and machine learning are used. It includes a range of resources, ensuring a comprehensive, dynamic, and interactive learning experience for the participants.

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