Seminar Risk Management – Compliance 2018
Seminar Risk Management – Compliance 2018
Seminar Risk Management – Compliance 2018 – New requirements – Product no. A13
> Minimum requirements for Risk Management compact: changes and effects on the compliance system
> Banking supervisory requirements for IT (BAIT)
> Compliance Officer as central outsourcing officer?
> Which compliance-relevant risks must be managed with ICS key controls?
Target Group – Seminar Risk Management – Compliance 2018
Board members and managing directors of banks, financial service providers, insurance companies, leasing and factoring companies, compliance officers and employees of compliance and legal departments, heads of internal audit, data protection officers, central office, legal experts, specialists and executives in the area of compliance.
Your benefit – Seminar Risk Management – Compliance 2018
> Safely implementing new requirements in the compliance system – making targeted use of simplification
> BAIT: As a compliance officer, what must you pay attention to?
> New assignments – stricter requirements for NPP processes – new Minimum requirements for Risk Management reports
Your Advantage – Seminar Risk Management – Compliance 2018
Each participant receives the following S & P products:
+ Checklist: Implement new Minimum requirements for Risk Management safely and purposefully
+ S & P Sample: Job description and control plan for the compliance officer
+ S & P Test: Surveillance and prevention measures to ensure compliance requirements
+ S & P Check: system check for the IT system
+ Sample guide for reporting to senior management and the board of supervisors
+ Excel assessment tool for creating an integrated risk / risk analysis Legal Inventory and Central Office
Program – Seminar Risk Management- Compliance 2018
New requirements for the compliance system safe
implement – use simplifications purposefully – Seminar Risk Management – Compliance 2018
> Minimum requirements for Risk Management: compactly implement changes to the compliance system
> Acute need for action on the compliance function from EBA, ECB and SREP specifications
> AT 9 new: Considerably higher monitoring requirements for outsourcing
> Safely fulfill due diligence as a compliance officer – purposefully limit risks from the guarantor position
> Integrate new Minimum requirements for Risk Management reports from the market and trading sectors into the compliance officer’s monitoring and monitoring system
> Are the executive and supervisory boards compliant? Checklists for the development of self-assessments within the meaning of § 25d KWG
Each participant receives with the seminar:
+ S & P Test: Monitoring and prevention measures to ensure compliance
+ S & P template for reporting to senior management and the board of supervisors
BAIT: What do you have to do as a compliance officer?
compulsory? – Seminar Risk Management – Compliance 2018
> AT 7: Audit focus on IT compliance
> IT strategy, IT environment and IT organization in the focus of the new Minimum requirements for Risk Management and BCBS 239
> Requirements of the new BAIT for high-level IT controls
> Secure handling of self-developed IT applications, access rights, IT approvals and changes in the IT system
Each participant will receive the following S & P products with the seminar:
+ S & P test: Is the IT system compliant?
+ S & P Check: system check for the IT system
New assignments – stricter requirements for NPP processes
– New Minimum requirements for Risk Management Reports – Seminar Risk Management – Compliance 2018
> Design optimal interaction with the central outsourcing officer
> New service provider control AT 9.7 with risk analysis and new outsourcing report
> What did the Compliance Officer acc. To adjustment processes acc. AT 8 Risk Management to pay attention?
> New: safely integrate annual NPP check
> Compliance Officer as central outsourcing officer?
> New module BT 3: Risk reporting: reliable organization of tasks and coordination between the agents
> Which compliance-relevant risks must be managed with ICS key controls
> Avoidance of legal risks: integrated risk / risk analysis for a legally compliant legal inventory
Each participant will receive the following S & P products with the seminar:
+ S & P checklist: implementing new Minimum requirements for RIsk Management safely and purposefully
+ S & P Tool Excel assessment tool for creating an integrated hazard / risk analysis Legal Inventory and Central Office
+ S & P Sample: Job description and control plan for the compliance officer
Study compliance in practice
Our current study Compliance in the company focuses on the following topics:
- Which types of economic crime affected companies?
- What preventive measures are there in your company?
- Measures against theft of customer and company data
- Career Opportunities for Compliance Officers
- Measures taken by banks against fraud and theft
- Measures against corruption in the company
- Minimum requirements for a compliance program