For several years, the financial press has accounted news items of considerable and repetitive interest concerning securities fraud, ethical lapses, money laundering, conflicts of interest, and insider trading. More often than not, these cases result in loss of business, reputation, revenue, and importantly, trust. Further, as regulatory authorities globally turn their attention to higher expectations in the control environment, the compliance function is quickly becoming an important driver in risk management strategies. From MiFID to Dodd Frank, financial services firms globally are strengthening their Compliance functions with stronger training, supervisory, advisory, reporting and surveillance, and control room resources to meet the intense regulatory scrutiny now expected.
Participants will obtain a deep understanding of and appreciation for the necessity of a strong and well equipped compliance function within any financial services institution. Through lecture, class exercises, interactive participation, simulation, and case studies, participants will review the need for financial services regulation, the markets/participants/institutions/instruments over which regulation proceeds, the use of the compliance function as a risk mitigator, the various methods and approaches to compliance with regulatory requirements, establishment of a well-functioning compliance department, and the skills required to succeed as a compliance officer.
Through intense analysis of specific cases concerning insider trading, compliance and ethical lapses, money laundering, rule violations (both inadvertent and purposeful), delegates will obtain keen insights to reduce the risk of regulatory and compliance problems and to foster a culture of compliance within their own firms.
Attend this topical 3-day course and learn:
- How to successfully structure and manage an effective compliance function
- The immediate impact of an ineffective compliance program
- The comprehensive loss of revenue, trust, and reputation resulting from a weak compliance environment
- How regulatory changes can quickly impact your organization and bottom line
- How to prepare for intense regulatory scrutiny and examinations
- From multiple case studies that globally illustrate cultures of compliance and strong compliance departments
This course has been specifically designed for the benefit of:
- New Compliance Officers
- Risk Managers
- Control Function Managers
- Legal Department Managers
- Management Consultants
- Equities Sales and Trading Desk Operations Managers
- Fixed Income Sales and Trading Desk Operations Managers
- Investment Banking Administrative Officers
- Financial decision makers in corporations