- Monitoring compliance with the laws and regulations, regulatory requirements and other external specifications and standards (external requirements).
- Monitoring in particular whether compliance with the external requirements is ensured based on appropriate and effective internal procedures.
- Monitoring whether the relevant business units have established appropriate and effective procedures under their own responsibility.
- Reviewing the internal regulations.
- Monitoring whether the company officers are exercising their responsibilities in relation to areas of law associated with material risks.
- Advising the management board in relation to compliance with the statutes, regulations and regulatory requirements applicable to operating the business.
- Supporting the management board on making the staff aware of compliance issues and work towards ensuring that attention is paid to these in daily work activities.
- Evaluating any potential impact of changes to the legal environment.
- Observing and analysing developments in the legal environment at an early stage for this purpose.
- Informing the management board on the consequences of any material changes to the legal environment in sufficient time to allow it to implement corresponding precautions and actions.
- Identifying and evaluating the compliance risks from a risk point of view at regular intervals.
- Carrying out activities based on a compliance plan.
- Reviewing and updating the compliance plan on a regular basis.
- Reporting regularly to the full management board on current compliance issues.
- Preparing a report for this purpose at appropriate intervals, at least annually and in case of a special events (ad-hoc).
This seminar has been designed for all credit institutions and financial services institutions and their responsible employees in the following areas: risk management, compliance, legal, outsourcing, business continuity and internal audit. The members of the board of directors and management are also welcome.
Start: 8:30 Uhr
Break: 10:00 Uhr – 10:30 Uhr
Lunch: 12:00 Uhr – 13:00 Uhr
Break: 14:30 – 15:00 Uhr
End: 17:30 Uhr
The seminar price includes a USB stick with the lecture documents as an e-book (PDF), working papers as a printout, soft drinks, coffee, tea, snacks and an extensive menu (starter, main course and dessert).
790,00 € zzgl. 19% MwSt.