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- The Bribery Act 2010 & Business Ethics
- Proprietary Trading - The Volcker Dilemma
- Corporate Lending - The Fundamental Controls
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Regulatory Update
Description
This course deals with latest developments in the world of financial services regulation.We look at both changes to the structure of regulation as well as the repercussions of enforcement actions in the markets.
In examining these aspects, we focus on the preventative internal control framework that allows an organisation to manage its regulatory risk.
Aimed At
Internal auditors, risk managers and compliance officers at all levels who wish to understand the impact of regulation on their organisation’s business and control framework.Programme
• A review of proposed changes to the structure of regulation and their implications• The status of changes to UK regulation
• Dodds-Frank – The current areas of emphasis
• The EU agenda – the UK perspective
• An analysis of FSA initiatives
• Learning points from recent FSA enforcement action
• The Compliance Function – Key Internal Control Tips
Trainer Name
Sandro BoeriMajor Clients Include
