A Practical Introduction to COMPLIANCE MONITORING in an Outcomes-Focused Regulatory Environment
This practical course is intended to equip delegates with a thorough understanding of the essentials of compliance monitoring and how they can be applied most effectively in the context of a more outcomes-focused regulatory regime.
This course is not intended for experienced Compliance specialists but for new entrants to a Compliance, Risk, Monitoring or Auditing role. The programme will not focus on any one sector but will be of value to individuals across retail financial services.
Attending this course will enable you to:
• Make sure you fully understand the implications of the FSA’s outcomes-focused approach to regulation for the compliance and monitoring framework in your firm
• Examine the risk assessment and mitigation tools available and how best to employ them
• More clearly define the risk appetite in your business and the controls needed as a result
• Identify the components of a robust risk-based monitoring programme, KPIs, desk-based monitoring and field visits
• Know how to support your firm’s senior management in meeting their regulatory responsibilities
• Highlight current and emerging areas of regulatory concern – and assess what this means for your compliance and monitoring plan
• Help reduce your organisation’s regulatory risk profile and compliance costs through improving the effectiveness of risk assessment and control procedures.
More Information - http://www.informaglobalevents.com/KM6477AARWB
As a valued AAR reader you can claim 10% discount to attend this course! - just quote your VIP Code: KM6477AARWB.
To register visit our website - http://www.informaglobalevents.com/KM6477AARWB - call on +44 (0)20 7017 7702, email custserv@infoline.org.uk quoting VIP Code: KM6477AARWB. |
