Finance & Accounts

FA 18 Financial Sector Regulatory Compliance

Financial Sector Regulatory Compliance

Lift Compliance in Your Financial Institution to an International Level


Who should attend?

Managers and executives from financial sector organisations who wish to strengthen their compliance risk mitigation and want to effect a greater awareness of compliance within their organisation:

  • Risk managers
  • Decision makers in their organisation
  • New compliance officers
  • Internal auditors tasked with auditing the compliance function
  • Legal department managers & Treasury staff
  • Junior Managers, Fresh Graduates & Final Semester Students to acquire a promising career in a reputable organization.
Course Code: F/A.18
Subject: Finance
Course Fee: £595
Duration: 3 Days
Venue: London School of Economics UK

Learning Objectives

By the end of the course you should be able to:

  • Describe to role of the Chief Compliance Officer in regulatory compliance and risk management
  • Review your financial institution’s existing processes and procedures and make recommendations for changes to bring them to international standards
  • Establish policies and procedures for conflicts of interest management and application of internal controls
  • Improve internal reporting to the Regulator, Board and Senior Management
  • Identify, analyse and mitigate compliance risks

Course Content

Introduction to Regulatory Compliance and Compliance Risks

  • Short quiz exploring participant’s existing knowledge
  • Compliance as a concept – a vision of the essential part compliance plays in the financial services industry
  • Characteristics of good and bad regulatory compliance regimes

How The Shift from Shareholder to Stakeholder Value is Driving Strategy and Decision-Making

  • Value maximisation and stakeholder theory
  • The drivers of shareholder and stakeholder value
  • Linking decision-making to shareholder value – the long-term perspective
  • Ethical dimensions of decision-making

Role and Influence of International Standard-Setting Bodies, and their Supranational Standards

  • FATF (Financial Action Task Force)
  • BIS (Bank for International Settlements)
  • Financial Stability Board
  • British Standard 8453 – Compliance Framework for Regulated Financial Service Firms •  Central Banks / Regulators

Complying with External Regulations

  • Typical regulatory compliance requirements of a financial institution
  • Compliance risks; what are they and how can you mitigate them
  • Structure and activities of the compliance function to achieve regulatory requirements

Internal Compliance

  • The Chief Compliance officer – responsibilities, and attributes
  • Mapping your compliance universe
  • Developing a compliance culture in your organisation

Working with the Rest of the Internal and External Regulatory Compliance World

  • Compliance, Internal Audit and Risk Management Functions – compared, contrasted and cooperation
  • Operating entities
  • Working and communicating with the regulator
  • Reporting to the Board and Senior Management

LISD Workshop Special GROUP Package Highlights:

(prices applicable to a group of minimum 8 persons)
*Maximum 15 persons will be enrolled in each workshop

  • 4 Days + 3 Nights Programme
  • Programme Registration with the invoice
  • 2 Scientific Knowledge-sharing sessions
  • Certificate of Participation signed by the authorities
  • 3 Night-accommodation in B&B (Double accommodation)
  • 2 Networking Dinners
  • 3 Lunches
  • 3 Networking Tea/Coffee
  • Airport Group-Pick & Drop Service
  • City Crawl
  • Group Excursion- Famous Tourist Attractions

Generic Schedule:

4 Days/ 3 Nights Programme

Day 1:
Hotel Group Pick-up Service from the nearest Airport to the Bed & Breakfast (Hotel)
Check-in: (between 2:00-4:00 pm)
City Crawl includes Takeaway Lunch and Coffee
(1st Night)

Day 2:
Interactive Learning Sessions: 9:00 am – 4:00 pm
Includes 2 Tea Breaks + Lunch
7:30 pm Networking Dinner
(2nd Night)

Day 3:
Interactive Learning Session/ Award Ceremony: 9:00 am- 1:00pm
Includes 1 Tea + Lunch
Excursion: 2:00-7:00 pm
Networking Dinner: 7:30 pm
(3rd Night)

Day 4:
Hotel Check-out at 10:00 a.m
Luggage can be Deposited in the Hotel
Free to Shop and Roam (independently)
Back to the Hotel at least 3.5 hours before the flight
Group Drop-off to the Airport

Register Per Person

Workshop Venue Full 4 Days + 3 Nights Workshop Package PER PERSON IN GROUP inclusive all taxes Credit/Debit Card
University of Oxford, U.K GBP 1350 Register Now Register Now
University of Cambridge, U.K GBP 1350 Register Now Register Now
King’s College London, U.K (University of London) GBP 1350 Register Now Register Now
University of Edinburgh, U.K GBP 1350 Register Now Register Now
London Institute of SD – Learning Center GBP 1145 Register Now Register Now
Baku, Azerbaijan GBP
Istanbul, Turkey GBP
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