Executive Development Programme in AM Regulatory Compliance Environment
-- ViewingNowThe Executive Development Programme in AM Regulatory Compliance Environment is a certificate course designed to provide learners with essential skills in asset management (AM) regulatory compliance. This program emphasizes the importance of regulatory compliance in the financial industry, addressing the growing demand for professionals who can navigate complex regulatory landscapes.
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⢠Introduction to AM Regulatory Compliance Environment: Understanding the regulatory landscape, compliance requirements, and the role of executive leadership in ensuring adherence.
⢠Financial Crime and Compliance Risks: Identifying and managing financial crime risks, including anti-money laundering (AML), counter-terrorism financing (CTF), and sanctions.
⢠Regulatory Compliance Framework: Designing, implementing, and maintaining an effective compliance framework, including policies, procedures, and controls.
⢠Risk Assessment and Mitigation: Conducting risk assessments, determining appropriate risk mitigation strategies, and monitoring their effectiveness.
⢠Regulatory Reporting and Disclosure: Ensuring accurate and timely regulatory reporting and disclosures, including suspicious activity reports (SARs) and other required filings.
⢠Regulatory Examinations and Enforcement Actions: Preparing for and managing regulatory examinations, investigations, and enforcement actions.
⢠Compliance Culture and Ethics: Fostering a culture of compliance, ethical decision-making, and integrity within the organization.
⢠Data Privacy and Cybersecurity: Protecting sensitive customer and organizational data, maintaining data privacy, and managing cybersecurity risks.
⢠Third-Party Risk Management: Managing risks associated with third-party relationships, including vendors, suppliers, and partners.
⢠Continuous Improvement in Compliance: Implementing a process of continuous improvement in compliance, incorporating lessons learned, and staying abreast of regulatory changes.
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