SEMINAR ON RISK-BASED COMPLIANCE PROGRAM
Date: Dec. 07-08, 2018 (Fri-Sat)
Venue: Bayanihan Hall, RBAP, Intramuros,
Time: 8:30am to 5:00pm
RESOURCE PERSON
DIEGO B. LEDDA, JR
Auditor -Trainer/Consultant – Management & Financial Consultancy Services
SEMINAR FEE
1. For Member – P5,200 /per person
2. Non-Member/Delinquent – P5,700 / per person
MODE OF PAYMENT
Check payable to:
Rural Bankers Research & Development Foundation Inc.
To reserve slot, a Non-Refundable commitment fee of P2,600.00 /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: Nov 29, 2018.
Course Objectives
-the course covers key compliance principles and areas of activities to be
conducted by the Chief Compliance Officer leading to the preparation of
Risk-Based Compliance Program, Assessment, Reporting and Monitoring.
*To learn the important of a Risk-Based Compliance Management.
*Understand the Compliance Risk Management Framework.
*Identify the key activities in Compliance Risk Management Cycle.
*To know how to prepare a Risk-Based Compliance Program and Testing.
Expected Participants
President, Risk Management Committee –Director, President, Branch
Managers, Risk Management Officer, Chief Compliance Officer.
Course Outline
A. Introduction.
• Define Compliance risk
• Understand risk-based compliance management
• Coverage of compliance laws rules and standards
• Sources of compliance laws, rules and standards
• Compliance organizational structure.
B. Oversight Bodies
• Responsibilities of the BOD.
• Responsibilities of Senior Management
C. The Compliance Function Principles
• Independence
• Resources required for compliance
• Responsibilities of compliance function.
D. Relationship with Internal Audit.
• Audit and reporting
E. Outsourcing of compliance assessment and testing.
• When to outsource
• Requirements of outsourcing
F. Review of Compliance Risk Management Framework
G. Workshop
• Prepare risk-based compliance program
• Prepare risk-based compliance Testing
**NOTE For Participants**
-Laptop for workshop
-Compliance Program Manual
