Global Regulatory Risk Assessment

Background

There are over thirty bodies of regulation in financial services that have overlap with each other, particularly in a cross border trading and settlement environment. Some of these overlaps are constructive and can be addressed with a single resource. Others are destructive and not only require multiple resources to comply with a single requirement, but also put the firm at risk of non compliance or breach.

This two-day course is designed for staff with compliance and operational responsibility, as well as senior management and board level executives with compliance, legal or technology remits. [top]

Benefits

At the end of the course delegates will:

• Understand the basics of up to 24 regulatory frameworks and how they interact
• Understand the principles of constructive and destructive overlap
• Be able to define and create a Global Regulatory Impact & Risk Assessment (GRIRA)

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Agenda

Day 1

The new global regulatory landscape
The strategic view
The historical perspective
Regulations overview
Regulatory overlaps and their impact

Day 2

Principles and rules based regulation – the future
Compliance
Operational Issues
The GRIA
Investor issues
The future
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How To Book

This course is available on an in-house basis. Click here for our current prices. To discuss your training needs, please complete our booking form and we will get in touch.
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