COMPLIANCE MANAGEMENT SYSTEM ASSESSMENT
Date: Mar. 01-02, 2018 (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/per person
2. Non-Member/Delinquent – P4,800 / per person
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: February 23, 2018.
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 Compliance Manual