International Compliance Officer Training

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OVERVIEW International Compliance Officer Training CPD: 14 units Dates: 07 & 08 May 2018 Heightened regulation over the last decade has emphasized the need to ensure business is conducted in

It is one of the many roles of the Compliance Officer to ensure that firms develop systems and controls that can help achieve full compliance.

1 OVERVIEW International Compliance Officer Training CPD: 14 units Dates: 07 & 08 May 2018 Heightened regulation over the last decade has emphasized the need to ensure business is conducted in compliance with laws, professional standards and internal policies. It is one of the many roles of the Compliance Officer to ensure that firms develop systems and controls that can help achieve full compliance. The workshop has been designed to meet the needs of today s Compliance Officer. It will provide a comprehensive introduction to the role and responsibilities of a compliance officer within a financial services firm and consider the role of ethics and the importance of setting the tone from the top before looking at how the Compliance function fits into the firm s overall structure. There will also be a thorough examination of the main areas the Compliance Officer needs to focus on, and the three key roles of advising, educating and monitoring. METHODOLOGY The workshop style programme will include relevant case studies, illustrative examples and participants interaction is highly encouraged to help attendees quickly grasp and internalise new knowledge. This course has been endorsed by the Chartered Institute for Securities & Investment (CISI) and designed by Compliance Officers and former Regulators who between them have over 50 years of compliance experience. The series of interactive group activities and case studies will provide attendees with the practical skills and knowledge required to carry out the Compliance function in line with international regulations and best practice. DATES, FEE & VENUE TIME: 9am to 16.30pm Dates: 07 & 08 May 2018 FEE: Rs 20,000 (Rs 8,000 after HRDC refund) CPD: 14 Units VENUE: Hennessy Park Hotel, Ebene Fee includes course materials, refreshments & lunch and attendance certificate endorsed by the CISI. WHO IS THIS FOR? Compliance professionals, Regulators, Legal, Audit, Risk, operations and IT specialists and those who seek understanding of the growing significance of regulation and the need for compliance.

2 International Compliance Officer Training CPD: 14 units Dates: 07 & 08 May 2018 COURSE OUTLINE - Case Studies & Group work through out Compliance What is Compliance Risk? Why is it important? What are the activities of the Compliance Department? Corporate Governance and Ethics The importance of strong corporate governance Key elements of a corporate governance regime Why do Ethics matter? Role of the Compliance Department in Corporate Governance & Ethics Effective Control Structures Essential elements of a robust organisational structure Risk management Management information Control functions Compliance & Internal Audit Staff, agents & outsourcing Business continuity Conduct of Business Rules Core COB rules Additional rules for investment businesses Additional rules for insurance businesses Conflicts of Interest Definition & typology Corporate conflicts Personal conflicts Gifts & inducements Chinese Walls & other controls Market abuse and insider dealing Role of the Compliance Function Key attributes of a Compliance Officer Compliance advisory function Compliance training and education Compliance monitoring Compliance manuals and documentation

3 International Compliance Officer Training CPD: 14 units Dates: 07 & 08 May 2018 FEW EXAMPLES OF CASE STUDIES THAT WE WILL COVER: 1. Position in the team? A group exercise to explore the role of compliance and other functions within a firm. 2. What s it for? Groups agree and present a mission statement for a compliance department. 3. One rule for all? An exercise considering how companies should respond to an ethical issue, based on a recent example of corporate governance failure. 4. How big a risk? A series of group exercises exploring how risks can be assessed and managed, including the concepts of inherent and residual risk and their relationship to risk appetite as well as the design of appropriate controls 5. When it all goes wrong An exercise to consider the common elements of a regulatory investigation, and its likely impact PROFILE OF TRAINER: Mr N. Sydenham is a: Chartered Financial Analyst (CFA) Chartered Wealth Manager, Chartered Financial Planner (Chartered Insurance Institute) Chartered Fellow of the Chartered Institute for Securities and Investment (CISI) Certified Anti- Money Laundering Specialist (CAMS) who combines extensive experience in the private banking and wealth management sectors. He was the Compliance Officer of the oldest privately owned bank in London, overseeing the activity of the firm s portfolio managers and financial planners. Prior to this, he spent several years in private client stockbroking. As head of governance, risk and compliance, he also delivers bespoke training for clients, with a particular focus on issues relating to regulatory compliance and risk management. He regularly delivers financial crime prevention training to senior management team of private bank, provides crash- course in financial regulation for the prospective CEO of investment firm and had also designed compliance induction programme for a Tier 1 investment bank. He also worked for one of the largest financial training companies in London where he delivered training for a wide range of regulatory qualifications. His recent projects included delivering training for candidates joining two national regulators and briefing the board of an international bank on changes to European regulation. Mr Sydenham is a member of the CISI review editorial panel and also a member of the CFA UK Ethics Committee.

4 Workshop on: Developing an effective Compliance Monitoring Programme CPD: 7 units Dates: 09 May 2018 OVERVIEW It is a regulatory requirement for all firms to establish and maintain effective systems and controls. These controls ensure that firms are managed effectively and responsibly in compliance with all applicable laws and regulations. A robust Compliance Monitoring Programme should support effective Corporate Governance and mitigate compliance risk. It is essential that the monitoring programme is implemented effectively and that it produces accurate and timely data to measure programme performance. This workshop has been designed by consultants, compliance officers and regulators with 50 years work experience, to meet the needs of senior managers and compliance professionals who require a comprehensive analysis of the key elements of a Compliance Monitoring Programme. METHODOLOGY This workshop style programme with Case Studies provides a practical guide to assessing the appropriateness and effectiveness for existing systems and controls. DATES, FEE & VENUE TIME: 9am to 16.30pm Dates: 09 May 2018 CPD: 7 Units FEE: Rs 12,000 (Rs 4,800 after HRDC refund) VENUE: Labourdonnais Hotel, Le Caudan Waterfront Fee includes course materials, refreshments & lunch and attendance certificate. WHO IS THIS FOR? The course will be of considerable value to Money Laundering Reporting Officers (MLROs) and Compliance Officers with at least 2 years relevant experience and who wish to cement their understanding of the topic with a sound practical grounding.

5 Workshop on: Developing an effective Compliance Monitoring Programme CPD: 7 units Dates: 09 May 2018 COURSE OUTLINE - with case studies Roles & Responsibilities Role of Senior Management Dedicated Compliance Officer Scope of the Programme Considerations type of firm, products Identify relevant rules, regulations and laws Assign risk rating & frequency of review Define objectives Compliance Testing Approach Areas to test, including: o Corporate Governance o Senior Management Arrangements o Systems & Controls o Authorised Individuals & employee suitability o Conflicts of Interest o Communications and marketing o Client acceptance process o Regulatory returns o Dealing Rules o Documentation & Record Keeping The CMP Report Introduction Details of testing Summary of findings & recommendations Address previous issues Management review & sign- off Further Considerations Training & education Internal communication Responding to breaches

6 Workshop on: Developing an effective Compliance Monitoring Programme CPD: 7 units Dates: 09 May 2018 LEARNING OUTCOMES: After attending the workshop, candidates will: Understand the roles & responsibilities of senior management and the Compliance function in designing and implementing an effective Compliance Monitoring Programme Be aware of relevant regulations, considerations & risks that will affect the scope of the Programme Know which areas of the business need testing & how this testing should be conducted Understand the importance of record- keeping Be able to prepare a Compliance Monitoring Programme Report PROFILE OF TRAINER Mr N. Sydenham is a: Chartered Financial Analyst (CFA) Chartered Wealth Manager, Chartered Financial Planner (Chartered Insurance Institute) Chartered Fellow of the Chartered Institute for Securities and Investment (CISI) Certified Anti- Money Laundering Specialist (CAMS) who combines extensive experience in the private banking and wealth management sectors. He was the Compliance Officer of the oldest privately owned bank in London, overseeing the activity of the firm s portfolio managers and financial planners. Prior to this, he spent several years in private client stockbroking. As head of governance, risk and compliance, he also delivers bespoke training for clients, with a particular focus on issues relating to regulatory compliance and risk management. He regularly delivers financial crime prevention training to senior management team of private bank, provides crash- course in financial regulation for the prospective CEO of investment firm and had also designed compliance induction programme for a Tier 1 investment bank. He also worked for one of the largest financial training companies in London where he delivered training for a wide range of regulatory qualifications. His recent projects included delivering training for candidates joining two national regulators and briefing the board of an international bank on changes to European regulation. Mr Sydenham is a member of the CISI review editorial panel and also a member of the CFA UK Ethics Committee.

7 Workshop on: MiFID II - Overview & Impact CPD: 7 units Dates: 10 May 2018 OVERVIEW The revised Markets in Financial Instruments Directive (Mifid II) is a massive legal overhaul aiming at making markets more transparent and competitive. The derivative covers banks, brokers and asset managers - ranging from stock trading to how analysts research is bundled and billed. MiFID II introduces a range of measures, which seek to address issues raised by the financial crisis, as well as the commitments made by the G20 to improve the transparency and regulation of more opaque markets. Regulators should hence obtain precise market data to help them avert anomalies such as flash crashes. The changes affect all investors buying or selling stocks, bonds, commodities, foreign exchange or exchange- traded funds & NOT just European firms. This one- day course is intended to provide a comprehensive overview of those principal changes being introduced and will consider the changes to market structures, as well as the new, and revised, obligations relating to governance and conduct. In addition to understanding the rules, attendees will be encouraged to consider the impact of the changes on their own firms. DATES, FEE & VENUE TIME: 9am to 16.30pm Dates: 10 May 2018 FEE: Rs 15,000 (Rs 6,000 after HRDC refund) CPD: 7 Units VENUE: Labourdonnais Hotel, Le Caudan Waterfront Fee includes course materials, refreshments & lunch and attendance certificate. WHO IS THIS FOR? Financial Services (Bank & Non Bank) ie : Brokers, Asset managers, Senior managers, Fund managers and Traders as well as those in second and third line functions such as Risk, Compliance, Internal Audit and Regulators. The course is also suitable for employees of all levels, who require a greater understanding of the impact of MiFIR and MiFID II. COURSE OUTLINE The purpose, and history, of MiFIR and MiFID II The changes to market structures: Regulated Markets, Multilateral Trading Facilities, Systematic Internalisers and Organised Trading Facilities Governance and conduct Cont.

8 Workshop on: MiFID II - Overview & Impact CPD: 7 units Dates: 10 May 2018 Cont o Product Governance - New requirements for product manufacturers o Investment Advice o Suitability and Appropriateness o Costs and Charges - New information required for clients o Conflicts of Interest o Changes to policies, procedures and management information o Inducements o Investment Research LEARNING OUTCOMES: After attending the workshop, candidates will: Understand the background to, and reasons for, the introduction of MiFID II and MiFIR Have an awareness of the changes to market structures Understand the principal changes relating to governance and conduct Have considered the impact of the changes on their own firm PROFILE OF TRAINER Mr N. Sydenham is a: Chartered Financial Analyst (CFA) Chartered Wealth Manager, Chartered Financial Planner (Chartered Insurance Institute) Chartered Fellow of the Chartered Institute for Securities and Investment (CISI) Certified Anti- Money Laundering Specialist (CAMS) who combines extensive experience in the private banking and wealth management sectors. He was the Compliance Officer of the oldest privately owned bank in London, overseeing the activity of the firm s portfolio managers and financial planners. Prior to this, he spent several years in private client stockbroking. As head of governance, risk and compliance, he also delivers bespoke training for clients, with a particular focus on issues relating to regulatory compliance and risk management. He regularly delivers financial crime prevention training to senior management team of private bank, provides crash- course in financial regulation for the prospective CEO of investment firm and had also designed compliance induction programme for a Tier 1 investment bank. He also worked for one of the largest financial training companies in London where he delivered training for a wide range of regulatory qualifications. His recent projects included delivering training for candidates joining two national regulators and briefing the board of an international bank on changes to European regulation. Mr Sydenham is a member of the CISI review editorial panel and also a member of the CFA UK Ethics Committee.

REGISTRATION FORM Please complete and fax to (230) 424-0906 or mail to training@keynes.

9 REGISTRATION FORM Please complete and fax to (230) or mail to CANDIDATES DETAILS : (Please write your name as it will appear on your attendance certificate & for HRDC refund purposes). Please make photocopies of the registration form for additional candidates. PLEASE TICK FOR WHICH WORKSHOP/S YOU ARE REGISTERING International Compliance Officer Training - Rs 20,000 (Rs 8,000 after 60% HRDC refund)* Developing an Effective Compliance Monitoring Programme - Rs 12,000 ( Rs 4,800 after 60% HRDC refund)* MiFid II - Overview & Impact - Rs 15,000 ( Rs 6,000 after 60% HRDC refund)* WORKSHOP S International Comp. Officer Training Developing an effective CMP MI FID II - Overview & Impact V - N V SURNAME FIRST NAME NIC JOB TITLE BILLING INFORMATION - Details of entity/person responsible for payment. NAME ADDRESS BRN: TEL MOBILE FAX Contact Person: At least one candidate's address/contact: * HRDC refund, T&C apply. Registration form can be scanned & ed or faxed to us. training@keynes.co Fax No: Online booking: Postal address: 3rd Floor, Suite 316, NG TOWER, Ebène, Cybercity. TERMS & CONDITIONS Investment fee is payable to KEYNES TRAINING LTD, within the time limit specified on the invoice. Cancellation Policy: Any cancellation must be made in writing and sent to training@keynes.co at least 2 weeks before starting date of the course. 50% fee is payable if cancellation is made within 1 week of the course. Full payment becomes due & no refund will be made if cancellation is made 3 days before the course. Full payment also becomes due if participants do not attend without giving prior written notice within the time period mentioned above. Substitute candidate: A substitute delegate is welcome at any time at no extra charge if the registered participant is unable to attend. Details of the replacing candidate should be sent to us, prior to attending the course. Payment can also be made by wire transfer to the order of KEYNES TRAINING LTD, A/c No: , State Bank Of Mauritius Ltd. Vacoas. For any queries, call us on / I have read and approved the terms & conditions SIGNATURE: TOTAL AMOUNT : Rs... Full name of applicant/approving manager: Cheque Bank Transfer Cash Mode of Payment (Mark as appropriate) Signature: Date:

ISM. Writing Winning Tenders. An intensive and highly practical 2 day course. Success is where preparation and opportunity meet.

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