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Regulatory Reporting for Compliance Teams

To help compliance and finance teams understand key regulatory reporting obligations, reporting calendars, internal coordination, documentation, and submission controls.

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
Regulatory Reporting for Compliance Teams

About this program

To help compliance and finance teams understand key regulatory reporting obligations, reporting calendars, internal coordination, documentation, and submission controls.

Program Content

9 outlines
1

Importance of regulatory reporting

2

Types of regulatory reports: periodic, event-based, AML, financial, compliance

3

Reporting calendar and ownership matrix

4

Internal data collection and validation process

5

Common reporting errors and late submission risks

6

Compliance sign-off and management approval

7

Recordkeeping and evidence management

8

Regulatory correspondence and follow-up handling

9

Practical reporting checklist exercise

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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