RMS 113: RISK BASED COMPLIANCE MANAGEMENT

With growing regulatory demands. major financial institutions are devoting substantial resources into compliance functions. The role of the compliance functions has widened and recognized as being critical operational risk issues that need to be strengthened to ensure avoidance of regulatory breaches and non-conformity to internal rules. policies. and procedures. This training will also review the current changes in the financial services market and the expectations of both regulators and the public on both internal and external compliance issues.