CIFs Regulatory Compliance Crash Course - compliance calendar, monitoring plan, client complaints, drafting of the annual report

Aim:

Day-to-day life within the compliance function of a CIF, or a CIF in general, can get easier when both the compliance officer and senior management have a clear understanding on what needs to be done, when and how.

The aim of the seminar is to provide an easy to follow ‘instructions manual’ on how to efficiently perform some of the most important requirements of the compliance function.

Objective:

 Not to miss a regulatory deadline

 Follow a sophisticated process to establish a risk-based compliance monitoring plan in order to effectively perform the ongoing compliance monitoring

 Efficiently handle client complaints

 Be able to prepare the annual compliance report to be submitted to CySEC

Participants’ Profile:

 Compliance Officers & Assistants

 Executive & Non-Executive Directors

 Lawyers and consultants

 Any professionals wishing to enhance their understanding in regulatory compliance for CIFs