Compliance Introduction

This course will give a brief introduction of the compliance function of a financial institution and the applicable laws and regulations. Different subjects will be outlined during this course, like complaince and integrity, the practice of compliance and the function of the compliance officer.

Goal

The objective of this course is to provide the participants insight into compliance and integrity, the compliance function and the related laws and regulations.

Target group

Managers, compliance officers, internal control staff, (internal or external) auditors, accountmanagers and securities staff.

Study load

8 hours.

Data

The course can be organised tailor made in company on request.

Exam

Not applicable.

More information?

For further information please do not hesitate to contact the NCI.