Établissement
Langue d'enseignement
English
Matières
FINANCE
Ce cours apparaît dans les formation(s) suivante(s)
Diplôme IÉSEG (Bac +5) Programme Grande École
- Crédits ECTS: 2.00
Responsable(s)
J.LEFEBVRE
Intervenant(s)
Guillaume de Lamazière
Présentation
Prérequis
Financial management of banking and financial companies
Objectifs
Understand the fundamental principles of compliance in the financial industry as well as the newest developments in a field that is subject to increasing regulatory pressure. While gaining an understanding of the more-than-ever core role of compliance, the student will also gain an insight of how and why compliance can be used to build a lasting, strong and sound organization.
Présentation
In this course we will discuss the role and day-to-day activities of the compliance function, the skills required for effective compliance officers, as well as the challenges and opportunities of the compliance function. In today’s world, any professional in the financial industry having a good understanding of this critical function will have an edge in a competitive and demanding environment. Key concepts that will be discussed are: the Three Lines of Defense, Conduct Risk, Regulatory Risk vs. Conduct Risk, Role and activities of the Compliance function, Regulatory Management Compliance, Trade Surveillance, Communications Monitoring, Risk Assessment, Compliance Review, Personal Account Dealing, Employee Licensing, Transaction Reporting, Compliance Policy, Investment Guidelines Compliance, Shareholder Reporting, Financial Crime Compliance, Banking Secrecy, Cross-border Compliance, Whistleblowing, Ethics, Culture, and Compliance, Opportunities & Challenges, Big Data & Technology, and Independence among others.
Modalités
Organisation
Type | Amount of time | Comment | |
---|---|---|---|
Présentiel | |||
Cours interactif | 16,00 | ||
Travail personnel | |||
Group Project | 20,00 | ||
Charge de travail personnel indicative | 14,00 | ||
Overall student workload | 50,00 |
Évaluation
Group project: 60%
Continuous assessment and participation: 40%
Continuous assessment and participation: 40%
Control type | Duration | Amount | Weighting |
---|---|---|---|
Contrôle continu | |||
Participation | 0,00 | 0 | 75,00 |
Autres | |||
Projet Collectif | 0,00 | 0 | 25,00 |
TOTAL | 100,00 |