CPD: Drafting and delivering compliance reports - a guide for concise and effective compliance report writing, handling on-site regulatory visits
- 10 August 2020
- 17:00–19:00 CET
- The role of the Compliance Officer
- Key responsibilities of the Compliance Officer
- Compliance Officer - key 'musts' for effective reporting
- The effective role within the compliance function
- Why do we need to produce a compliance report?
- Main contents of a compliance report
- Details of specific sections from a compliance report
To learn the key inputs required for effective compliance report writing including the details of different sections from a Compliance Report, targeting the message to the audience and how to ensure that the compliance message gets delivered and actioned. Details of how to deliver advice around regulatory changes and regulatory requirements within such reports will also be provided, along with examples. Updating the Board of Directors and Senior Management on the compliance risk assessment and compliance monitoring programme will also be discussed. Follow up of the compliance action log for compliance policies and procedures, together with the escalation of communication with the regulator and of main compliance issues at Board level are also discussed. Attendants will expect to get an in-depth review of compliance reports, with various examples to be delivered during this webinar. .
Compliance officers, Board of Directors, senior management and compliance assistants. This will provide examples in relation to all financial service providers, in particular to the insurance sector.
Ms Romina Lauri
Trainer(s) bio and experience
Romina Lauri is Head of Compliance responsible for the compliance services provided by RiskCap to financial services firms. She joined RiskCap after an extensive experience in financial services and regulatory compliance including managing the regulatory compliance function within HSBC Bank Malta plc’s main subsidiary - HSBC Life Assurance (Malta) Ltd. Ms Lauri has in-depth knowledge of both local and foreign regulations including the MIFID II, AIFIM, UCITS and Solvency II and the Conduct Rule Book, amongst others. She has also lectured at the University of Malta and currently sits as a director with a local non-financial services company. Ms Lauri has read a B.Com (Hons) in Economics and MA Economics, both obtained with distinction, amidst several studies on regulatory compliance.