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Naked blogz: Certified Compliance Officer CCO™ in Accra Ghana, Dubai, Hong Kong and Mozambique

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Naked Mindz will be training  the Certified Compliance Officer CCO™course for the High Level Training Institute  in Accra Ghana, Hong Kong, Mozambique and Dubai this year. If you are interested in this course please contact : M +389 71 552 410 or email or visit CCO Dubai 14-18 Aug 2016


Day One: Introduction to Compliance • Role-players Business management overview • Internal control • Control framework • Finance • Technology leverage • Business governance light Enterprise Risk management • Quality management • ISO standards Regulatory universe  Fostering a culture of accountability The Regulatory Environment and the Role of Regulators • Regulatory drivers • A variety of legal obligations and due diligence – Regulators – Supervisors – Licences or authorisation – Business implications • Introduction to analysis methods of regulatory requirements • Analysis of regulatory requirements per regulatory authority (overview) • Disciplinary ActionsCompliance and the Role of Corporate Governance What is corporate governance? Corporate governance • Principles of corporate governance – Duties and responsibilities of directors – Introduce SOX – Introduce foreign corruption laws • Stakeholder analysis – Protection of stakeholder interests • Ethics • Whistleblowing • Regulatory interactions • The corporate constitution and governance structure Codes of conduct • Principles • Independence – Segregation of duties • Gift registers • Information to the client – COI and remuneration policies

Day Two: Compliance • Discussion on regulation and compliance needs: The key deliverables of a compliance function. • Cultu • Culture – Responsibility for compliance – The methodologies for compliance monitoring by management – The methodologies for compliance monitoring by the compliance officer – Consider different governance structure options and models and the impact on the compliance structure – Core elements of a compliance policy. • Stakeholders – Definitions of the duties of a compliance officer – Accountabilities of other role-players • Assessment and compliance risk profile – Discussions on how the structure should address independence, conflict of interest, authority for compliance functions and resourcing – Compliance Function Structures and standards • Compliance risk management – Independence – Phases – Resources • Policies, manuals and working papers examples should be given. – Formats versus substance – Operational procedures/manuals – Statutory, regulatory and supervisory procedures –

Day Three: Compliance • Record keeping • Monitoring – The starting point of compliance monitoring – Risk rating methodologies – Scopes and limitations – Independent monitoring – Effectiveness reviews – Materiality – Sampling – Statistical sampling and non-statistical sampling – reporting • Complaints • Reporting – The review process and the relevant role players – Working papers – The compliance report – Recommendations that should be addressed in the compliance report – Issues Log – The review process to evaluate the implementation of the Compliance Risk Management Plans throughout your organisation Introduction to AML/ ABC International responses to the problems of money laundering economic crime, cyber-sabotage and terrorism • FATF and Money Val • Legal • Legal requirements • Noncompliance and its ramifications • Methodologies for ABC • Risk management • PEPS

Day Four: Developing A Corporate Compliance Programme Continued. Compliance and Business Ethics What is ethics? Ethics and corporate accountability: Benefits of a commitment to sound business ethics. • How to read legislation • Sarbanes-Oxley – Section 404 – Section 302 – COSO framework and SOX compliance • The Company Law Reform White Paper • Data Protection Act of 1998.(Europe) • Basel II accord • King IV • Solvency II • Data protection • Corporate ethics guidelines in developing A Corporate Compliance Programme Generic management in compliance • Change – Identifying the best fit for an organisation based on the strategy, environment and industry • Conflict in the workplace – Conflicts of interest • Communication • Relationship management- Chinese walls etc. • Problem solving methodologies • Training – Consequences of training – Regulatory requirements – Training methods – Record keeping • HR light • Best practice principles • Implementation requirements

Day Five: Review and Revision • Overview of the Corporate Compliance Function • The location of the compliance function • Integration and independence of the compliance function • Optimal compliance a • Optimal compliance architecture • The Compliance Officer Issues in Compliance • The demand for Corporate Social Responsibility (CSR) • Fraud and corruption control • Whistle-blower programmes and the law • Exam techniques • Revising for the final exam Programme Close • Final questions and answers • Evaluations Examination • Multiple choice questions • No penalty for incorrect answers

Case studies will be used to demonstrate how organizations have implemented compliance programmes


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