This CPD will cover the main aspects of the role of the compliance officer, drafting compliance reports, ad hoc reports to the management and how to effectively escalate compliance issues to the senior managers and Board of Directors.
Description:
The CPD covers the main items that need to be included in the compliance report, the manner on how to discuss and escalate compliance matters to senior management and to the board of directors and also how to ensure proper implementation of compliance advice.
Course Topics:
Target Audience:
Compliance Officers and Senior Management of MFSA regulated entities.
Assessment Questions and Answers:
In line with MFSA requirements, a short multiple-choice assessment will be provided by the trainer towards the end of the session. A Certificate of Attendance will be awarded to all students who attend the CPD (duration will be included on certificate). A Certificate of Achievement will be awarded to those who sit for the assessment and are successful (pass mark 60%)
Ms Lauri is a seasoned Regulatory Compliance Expert focusing on various regulatory frameworks including the insurance undertaking and intermediary sector. Ms Lauri holds a number of PQ’d appointments as a Compliance Officer for various insurance entities
