Discounts

	JCOA Members cost: £636 JCOA Members are offered a special discount of 20% on all JIBS Short Courses and Certificated Awareness Programmes in Compliance, Anti-Money Laundering and Financial Crime Prevention as well as a discount on the Anti-Money Laundering CPD Series and Annual Compliance & Economic Crime Symposium.
	JCOC Members cost: £715.50 JCOC Members are offered a special discount of 10% on all JIBS Short Courses and Certificated Awareness Programmes as well as Club (N)ED, CPD Plus Seminar Series, Anti-Money Laundering CPD Series, Investment Business CPD Series and the Annual Compliance & Economic Crime Symposium.

Discounts cannot be used in conjunction with other discounts or offers.

Overview

The Compliance and Risk Management Programme examines the key risk management issues and topics that are of vital importance in today's highly regulated environment. The programme is lectured by subject matter experts and is highly practical. Full written notes and copy PowerPoint slides are included.

2013 Programmes

The Compliance Risk Fundamentals Certificated Awareness Programme consists of 10 seminars run throughout the year starting on 15th March 2013. This can be booked as a complete programme at a cost of £795 or as short courses at a cost of £95 each.

Contact Gemma Renfrey on 816338 or email gemmarenfrey@jerseyibs.com to register your interest.

Programme content

Seminar 1: The Regulatory Environment
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Date: 15 March 2013

• Why financial services are regulated

• The consequences of regulatory failure

• The principles of regulation

• Relevant laws/regulations and codes

• Regulatory agencies

Seminar 2: The Jersey Financial Services Commission
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Date: 12 April 2013

• Statutory basis

• Statutory objectives

• Structure

• Functions

• Powers

Seminar 3: Defining Compliance Risk
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Date: 23 May 2013

• How compliance risk differs from other risk types:
  - operational risk
  - credit risk
  - financial crime risk

• Examples of failure to manage compliance risk

Seminar 4: The Role Of The Compliance Function – Part 1
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Date: 21 June 2013

• Key external relationships

• Relationships with other internal risk management functions

• Relationship with business units

• Relationship with the board

Seminar 5: The Role Of The Compliance Function – Part 2
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Date: 12 July 2013

• Influencing philosophy

• Helping to shape policy

• Designing procedures

• Encouraging compliance with procedures in practice

• Monitoring

• Reporting

Seminar 6: The Link Between Compliance And Effective Corporate Governance
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Date: 2 August 2013

• What is corporate governance?

• The JFSC’s expectations of good governance

• Why compliance is fundamental to good governance

• What a good governance regime looks like

• Examples of failure

Seminar 7: Preparing For And Managing A Commission Visit
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Date: 13 September 2013

• Preparing staff and management

• Disclosure of documentation – pre-visit

• Types of visit and what to expect

• Common pitfalls and how to avoid them

• Handling a visit

Seminar 8: Handling Enforcement Action
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Date: 4 October 2013

• What is enforcement action?

• Who are the enforcers?

• Responding to production orders

• Avoiding fishing expeditions

• Legal professional privilege

• Managing an internal investigation

• Managing the risk of document destruction and creation

• Issues arising during an inspection process

• Responding to asset seizure attempts

• The likely impact of civil confiscation provisions

Seminar 9: Managing The Risk Of Human Error
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Date: 22 November 2013

• What are human factors?

• The importance of human error in procedure‑driven environments

• Common human factor problems

• Steep authority gradients

• Reliance vacuums

• Dominant individuals

• Identifying and addressing human factor issues

• Developing an effective compliance culture

Seminar 10: Extra-territorial compliance risks
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Date: 13 December 2013

• HIRE Act

• OFAC

• Onshore criminal investigations

• US anti-money laundering provisions

• UK Bribery Act

• Case studies