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Corporate Governance for Regulated Entities

To provide directors, senior management, compliance officers, and control function teams with a practical understanding of governance expectations in regulated businesses.

5 9 Outlines
Real Estate Compliance Officers MLROs and Deputy MLROs KYC/CDD Analysts Front-line and Relationship Management Teams Customer Support Teams Operations and Finance Teams Internal Audit and Risk Teams Senior Management and Board Members DNFBPs and Regulated Entities FinTech Virtual Asset Insurance Broker Financial Services Professionals
Corporate Governance for Regulated Entities

About this program

To provide directors, senior management, compliance officers, and control function teams with a practical understanding of governance expectations in regulated businesses.

Program Content

9 outlines
1

Introduction to corporate governance

2

Role of Board and Senior Management

3

Three lines of defense model

4

Compliance, risk, internal audit, and MLRO functions

5

Policies, procedures, and approval framework

6

Conflicts of interest and independence

7

Management information and governance reporting

8

Regulatory accountability and oversight

9

Governance gap assessment workshop

Who this program is for

Real Estate
Compliance Officers
MLROs and Deputy MLROs
KYC/CDD Analysts
Front-line and Relationship Management Teams
Customer Support Teams
Operations and Finance Teams
Internal Audit and Risk Teams
Senior Management and Board Members
DNFBPs and Regulated Entities
FinTech
Virtual Asset
Insurance
Broker
Financial Services Professionals
$0.00
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This program includes:

  • Duration: 5
  • 9 Content Outlines
  • 15 Target Audiences

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