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5 - FNB - Finance and Banking

FNB 203 - Compliance Regulations for Bankers

Code Start Date Duration Venue
FNB 203 13 March 2023 5 Days Istanbul Registration Form Link
FNB 203 08 May 2023 5 Days Istanbul Registration Form Link
FNB 203 03 July 2023 5 Days Istanbul Registration Form Link
FNB 203 28 August 2023 5 Days Istanbul Registration Form Link
FNB 203 23 October 2023 5 Days Istanbul Registration Form Link
FNB 203 18 December 2023 5 Days Istanbul Registration Form Link
Please contact us for fees


Course Description

Compliance is an all-encompassing function of a bank, and is related to every business and support activity. This programme is designed to keep the Compliance Officers (COs), Internal Control Officers (ICOs) and Money Laundering Reporting Officers (MLROs) abreast of their responsibilities, duties, limits, and liabilities and to update them on new changes in regulation. The programme also introduces the compliance officer to the various compliance requirements both from the external regulatory and internal policy requirements.

Course Objectives

  • Defining regulations
  • Discussing regulatory objectives in the context of the changing nature of banking regulations
  • Mapping compliance with regulatory objectives
  • Describing the roles and responsibilities of the compliance officer 
  • Explaining the risks associated with non-compliance
  • Interpreting international compliance and reporting requirements domestically

Who Should Attend?

  • Money laundering reporting and prevention officers and their deputies
  • Compliance officers and their deputies
  • Internal audit and regulatory staff
  • Anyone seeking to acquire a detailed understanding of fundamental regulatory principles and how to assist businesses to comply with the regulatory environment

Course Details/Schedule

Day 1

  • Setting the scene of the changing banking landscape within the context of regulations
  • Definition of regulations
  • Development  of regulations
  • Factors that have contributed to change in regulations
  • Why are compliance regulations necessary?
  • Banking regulation principles

Day 2

  • Instruments and requirements of banking regulations
  • Regulatory approaches 
  • International regulations and current trends
  • Regulatory compliance issues
  • Regulatory arbitrage
  • Ring-fencing regulation

Day 3

  • Improving the effectiveness and reducing the cost of compliance programs
  • Design and implementation of compliance process
  • Access to information and personnel
  • Regulatory readiness reviews
  • Risk and control assessments
  • Systematic risk measurement  

Day 4

  • Intervention and resolution arrangements
  • Head of Compliance Team : roles and responsibilities
  • Required certificates 
  • Roles and responsibilities of a compliance officer
  • Required personal and interpersonal skills
  • Regulatory change management 

Day 5

  • Dealing with conflicts of interest
  • An overall assessment of rule-based regulation 
  • Monitoring and supervision by regulatory agencies: need for change in approach
  • Seeing  the bigger picture: improving bank crisis management
  • Thinking globally: regulatory strategy going forward
  • Bank Compliance Checklists: current areas of focus