Course Agenda

Programme Overview
During this five-day course you will engage with and develop an understanding of some of the critical issues confronting the compliance professional in the contemporary organisation. You will have the opportunity for issue analysis and networking with some of the regions most qualified compliance operatives, as you engage with the challenges of the programme.

This is an innovative course that has been specifically designed to provide the appropriate environment for the professional development and industry acknowledgement of current practitioners of compliance.

Programme Methodology
This programme has been designed to be delivered in a highly interactive way, involving a mix of theory, interactive discussion and formal practical exercises. It will also involve presentations from regional organisations that have or are currently dealing with, the issues covered in the programme. It is also expected that all participants will contribute from their own experience and area of knowledge. This delivery method has been chosen to ensure that participants can maximise their skill development and experience sharing through peer interaction.

Programme Pre-requisites
The course is designed for those who already possess a formal compliance qualification or a sound knowledge in the area and is an opportunity to extend their understanding across a range of compliance functions.

Programme Timings
Registration will be at 08:00 on the first morning. The course will commence at 08:30 and conclude at 14:30 on all days with two breaks for refreshments. Lunch will be served at the end of each day.

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Programme Outline
During the five days of the programme you will take part in numerous issue led discussion sessions. The exact timings and emphasis given to each session will depend on the group requirements and interest. At Master level, participants are expected to contribute significantly from their own experience giving rise to emerging and new issues that are not listed in this outline. As a minimum, discussions will focus around the following key themes:

Governance And Governance Structures
• The role of governance in achieving compliance success
• The relationship between governance and internal control
• Governance structures as part of your compliance framework
• Governance responses to differing regulatory models

The Regulatory Environment And The Role Of Regulators
• Regulatory drivers
• A variety of legal obligations and due diligence

Internal Control – The Foundation Of Successful Compliance
• Review current thinking on the role of internal control
• The relationship between internal control and compliance and its
  criticality for success
• Internal control and the audit function
• Internal control, a self-regulating tool for sustainability

Compliance And The Role Of Corporate Governance
• What is governance?
• The corporate constitution and governance structures
• Duties and responsibilities of directors
• Protection of stakeholder interests

Compliance In The Non-Banking Sector
• Compliance and the drive for best in class
• Operational risk (non-financial) and the drive toward integrated
  compliance.
• What the financial sector can learn from the industrial sector

The Basel II Accord And Compliance
• A global framework
• Basel II and the role of the regulator
• The compliance expectations for financial institutions under Basel II
• Financial sector response to the Basel Accord.
• Islamic banking and Basel II

Compliance Standards (Models) And Their Role
• European model for compliance
• A UK perspective
• The US legislative approach
• Global response to compliance models

Creating Best Practice
• Defining what is best practice for your organisation
• Developing an individual model for compliance
• A methodology to achieve best practice

Compliance And Sustainable Markets
• The role of the regulator in establishing sustainable markets
• The maintenance of market trust
• The need for partnership between the regulated and the regulator

Harmonisation Or Convergence – A New Compliance Paradigm
• The regulatory challenge in the 21st century
• What is good for your market?
• Where does optimal compliance performance fit in this debate?

This course may contribute to you achieving an International Diploma in Risk Management