Course outline:
- Legal framework and definitions
- Market soundings
- Obligations of brokers
- Reporting
- Investment research definitions
Target audience:
- Regulatory compliance officers
- Internal Auditors
- Persons employed in investment services departments
- Persons involved in pre- and post-transaction monitoring
- Executives and non-Executive Directors
Expected time to complete the course:
Recorded time: 1.45 hrs
Reading and Testing: 1.15 hrs
Presented by:
The course is prepared and presented by Mrs. Iryna Theodoulou, FCCA, MICA, holder of ICA International Diploma in Governance Risk & Compliance with merit, Advance Professional Competence Certificate with CySEC, ICA International Advance Certificate in Anti Money Laundering with merit, Advance Certificate in Fund Administration and EXIN Certificate in Privacy and Data Protection Foundation.
Mrs. Theodoulou is a member of ICPAC and IIA (CY), with on-hands experience and skills in the industry for over 15 years, including experience in practical application and advisory work in relation to the MIFID & AML/CTF legislation for Cyprus and other jurisdictions.
