Compliance Mgmnt System Assessment – Jun 08-09

COMPLIANCE MANAGEMENT SYSTEM ASSESSMENT

Date: June 08-09, 2017 (Thu-Fri)
Venue: Gov. Licaros Hall, RBAP, Intramuros,
Time: 8:30am to 5:00pm

RESOURCE PERSON
Mr. Diego B. Ledda, Jr.
Trainer/Consultant -Management
& Financial Consultancy Services

SEMINAR FEE

1. For Member – P4,500
2. Non-Member/Delinquent – P4,800

MODE OF PAYMENT
Check payable to:

Rural Bankers Research & Development Foundation Inc.

To reserve slot, a Non-Refundable commitment fee of P2,200.00 /pax is
required, but its deducted from the total registration fee.

Bank: LBP – Intramuros, Branch
Account Name: RBRDFI
SA No. 0012-1046-26.
Telefax (02) 527-2969 /527-2980

DEADLINE TO SUBMIT REGISTRATION: June 02, 2017.

Course Objectives
1. To identify, prioritize, and assign accountability for managing
existing or potential threats related to legal or policy noncompliance—or
ethical misconduct—that could lead to fines or penalties, reputational
damage, or the inability to operate in key markets.
2.To understand the laws and regulations with which the Bank is required
to comply in all risk areas where it conducts business, as well as
critical organizational policies—whether or not those policies are based
on legal requirements.
3.To learn the roles and responsibilities of Chief Compliance Officer in
the organization.
4.To learns how to prepare annual compliance program, assessment and reports

Day 1

1.The Compliance Risk Management
*Define Compliance risk and Compliance Risk Management
* Status of Compliance Functions
* Regulations Governing Compliance Functions
* Requirements of successful Compliance Risk Management

2.Board and Senior Management Oversight
* Roles and Responsibilities of the Board of Directors
*Roles and Responsibilities of Senior Management
*Roles and Responsibilities of Employees

3.The Compliance Office and Compliance Officer

4.The Compliance Program
5. Reports , Reporting Frequencies

*Types of Reports Being Prepared by the Compliance Officer
*Frequency and Manner of Reporting
*Actions Needed in Compliance Reports

6.Improving Compliance Risk Management
*Identifying Inherent problems for Effective Compliance
7. Outsourcing of Compliance Assessment and Testing
8. Common Problems and BSP audit Findings in Compliance System and How to
Avoid them

Day 2

1.Hands-On Preparation
*Annual Compliance Program
*Assessment of Risk Areas
*Reports

Required on Day 2: Laptop Computer, USB

CIR COMS-Jun17 Download file click here

CS-COMS-Jun17 Download file click here