Course outline:
- Director’s main duties and obligations
- General requirements
- Significant CIF
- Key reports to the Board
- Current capital markets regulatory framework
- MIFIDII major topics
- Market Abuse Regulations for Brokers
- Market Abuse Regulations: Investment recommendation
- New Capital Adequacy requirements
- Current AML regulatory framework
- Duties of the Board
- AML Risk management
- New developments in EU
- Outlook for high impact new compliance areas
- Sustainability
- Crypto regulations
- Operational resilience
Target audience:
- Members of the Board of Directors
- Senior Management
- AML Directors
- AML Compliance Officers
- Regulatory Compliance Officers
- Risk managers
- Persons employed in Investment Firms
- Holders of CySEC Certificate
Expected time to complete the course:
Recorded time: 4 hours
Reading and Testing: 1 hour
Presented by:
Course is prepared by DELFI CORPORATE SERVICES LTD
Mrs. Svetlana Tutunaru, MBA, holder of CySEC Advanced & AML Certificates – Personal Identification number CN2386, 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, MAR, AML/TF legislation in Cyprus and other jurisdictions, acts as appointed Internal Auditor and Compliance officer or Compliance Support in number of licensed brokers and funds in Cyprus
