COMPLIANCE RISK ASSESSMENT

Mapping, Detecting & Preventing Potential Risks in
Your Organisation

28th – 29th August 2019
Sheraton Imperial Kuala Lumpur

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OVERVIEW

Good compliance is the bedrock of modern banking and markets and it is imperative that organisations and individuals involved in these businesses are constantly checking to ensure best practice. In recent years the sheer weight of regulations and the complexity of financial markets have made compliance ever more important.

Our market leading, 2-day course is packed with current examples of compliance failures and their consequences as well as how to benchmark compliance risk in a compliance department using ‘best practice’ rules.

KEY  TAKEAWAYS

9

Compliance in Financial Institution – Importance of compliance and how regulators view compliance issues

9

Effective Compliance Program

9

Identify major types of culture risk and fraud within Financial Institution

9

Effectiveness of cultural measures taken by regulators and senior management (Case studies)

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Identifying risks in compliance through monitoring (Case studies)

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Importance of effective risk reporting

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Major checks for effective compliance risk audit

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Major compliance weak point that need to be stress tested in an audit

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Creating a template for a ‘best practice’ compliance risk assessment (Case studies)

WHO SHOULD ATTEND

The audience for this course includes Compliance Officers, Risk Managers, and other GRC professionals who want to understand the best practice of Compliance Risk Assessment

A-17-10 Tower A
Menara UOA Bangsar
No. 5 Jalan Bangsar Utama 1,
59000, Kuala Lumpur