FINRA Advanced Capital Markets Regulation and Compliance Capstone Course
Duration: 5 days
Dates: 01 - 05 December 2008, ICMA Centre, University of Reading
This one-week course addresses a series of advanced-level topics that build on previous courses and is designed for compliance professionals who desire to further their career in compliance management.This is the capstone course of the Diploma programme.It is strongly recommended that delegates working toward the full Diploma complete this course at the end or towards the end of the programme.
This course is part of the Capital Markets, Regulation and Compliance Diploma and Short Courses offered by the ICMA Centre and FINRA. You can study this course on a stand-alone basis or as part of the full Diploma.
Participant Profile
- Compliance staff with at least one year's experience; staff with more than five years' experience may benefit from individual short courses rather than the full diploma
- Operational risk and internal audit staff, who need greater insight into compliance and regulation
- Lawyers (0-2 PQE) who want a "real world" view of implemented compliance (short courses recommended)
- Regulators from other countries who want to better understand the challenges of implementation.
Content
- Role of the Compliance Department
- Challenges of compliance documentation and records management
- Compliance risk assessment
- Compliance advisory
- Compliance culture, training and competence
- Designing and implementing a compliance monitoring programme
- Conducting business and desk-based reviews
- IT for compliance monitoring and surveillance
- Managing regulatory relationships, visits and inspections
- Crisis management: internal investigations, consequential actions and legal issues
- Forensic investigations
- FSA enforcement process