Statutory, Legal and Compliance Requirements
Details
Statutory, Legal and Compliance Requirements
Understanding Risk, Statutory, Legal and Regulatory Compliance
- What is effective legal and regulatory compliance?
- Prudential Compliance
- What are the objectives of compliance?
- What is integrity in the eyes of the regulator?
- Managing Regulatory Compliance in a Dynamic Environment
Outline
- What is effective legal and regulatory compliance?
- Prudential Compliance
- What are the objectives of compliance?
- What is integrity in the eyes of the regulator?
- Managing Regulatory Compliance in a Dynamic Environment
- The Role of the Regulator
- Regulatory Models
- Enforcement
- Regulatory Rules
- The Framework of a Regulator
- The Potential Liability of Regulators
- The Need for, and objectives of Law and Regulation
- Sources of Law and Regulation
- Prevention of Money Laundering and Financial Crime
- Understanding Money Laundering Offences
- Designing an Effective Reporting System
- Terrorist Financing
- Money Laundering and Tax Evasion
- Financial Crime
- Preventing Fraud
- Corruption
- Market Manipulation / Misleading Statements, Insider Dealing and Market Abuse
- Codes of Corporate Governance
- Regulatory Principles
- Overview of Commercial Laws and Mechanisms Governing Legal Persons and Arrangements
- Regulators
- Products and Services
- Compliance Structure
- The Role of the Compliance Officer
- Key Compliance Activities and Processes
- Risk-based Compliance Monitoring
- Investigating Compliance Breaches
- Training
- Compliance Governance
- Internal and External Relationships
- Links between Compliance, Culture and Ethics
- Specific Internal Compliance Control Issues
- Risk Management
- Practical Considerations
- Compliance Oversight and Internal Controls
- Understanding where Disputes are most likely to Arise
- Understanding Regulatory Risk
- The Risk Management Process: What to remember when designing an effective risk management system?
- Opportunities and Threats from Risk Management Developments
- Dealing with Regulatory Issues and Enforcement
- Why risk management of legislative breach must be included in compliance framework?
- Key Risk Areas: Financial Crime and Money Laundering, Cyber-crime, Bribery and Corruption, Data Protection Loss
- Best Practice Risk Management Techniques
Speaker/s
Special Offer
Schedules
| Tue, Fri | 10:00 AM — 04:00 PM |
| Tue, Wed, Thu, Fri | 10:00 AM — 04:00 PM |
| No. of Days: | 4 |
Alpha Partners is a reputable firm of Training and Management Consultants with many years of corporate training experience in Finance, Accounting, Auditing, Banking, Management, Information Technology, Oil and Gas Sector, Security, Engineering, Public Relations, Secretarial Studies, Leadership, Marketing and other fields of human endeavour.
We are one of the leading players in the profession. Our firm, a multi-disciplinary one with highly talented, experienced and dedicated partners and staff who have experiences in different facets of working life was established in 1996 and has branches in Lagos, Enugu and Awka.
We offer a wide range of professional services, which covers audits, accounting, finance, taxation, ICT, security, engineering, insurance, human resources management, secretarial and consultancy services in all ramifications.
Our numerous clients attest to the high quality services we offer which contribute in no small measure in ensuring sound and efficient management of their resources.
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