Background:

Compliance functions in financial intermediaries, need to transform from functions focused on conservatism, preservation and remediation to ones, that in addition to maintaining regulatory compliance, operate in a more strategic and predictive capacity. Compliance will be most effective in a corporate culture that emphasizes standards of honesty and integrity.  and which flows from the top, from the board of directors and senior management. The increasing complexities in operations, use of new age banking tools, collaboration with FinTech’s and many activities being outsourced, compliance risk management has emerged as a distinct risk management discipline. Any non-compliance to the legal, regulatory or applicable laws may result in regulatory interventions and adversely impact the regulated entities. Therefore, it is imperative, for all the regulated entities to put in place a robust compliance framework aligned with the extant regulations and develop a culture of compliance in their organizations.

Objectives:

This two-day program would provide an opportunity to the participants for an enhanced understanding of the emerging compliance landscape and challenges. It will also help them to understand the regulatory perspective, expectations and concerns.

Program Highlights:

• Compliance Eco-system from the Regulatory Lens
• GRC Assessment Framework: Emerging Challenges
• Risk Based Supervision: Compliance Assessment
• Cyber Incident Reporting & Crime Prevention from perspective of Cert-in
• Cyber Security: Governance, Risk & Compliance
• Compliance, Accountability and Enforcement
• KYC-AML Compliance
• Data Localisation, Protection & Data Privacy
• Third Part Risk Management & Compliance Issues
• Internal Audit: Significance in Compliance function
• Consumer Protection, Handling Customer Complaints & Grievances