Compliance – IT – Internal Audit

Compliance – IT – Internal Audit – S & P Seminar: Implementation of the new requirements for risk management, CRD IV, §25 German Banking Act – Product no. A01
  • New compliance function according to German MaRisk – §25 German Banking Act tasks and organizational integration
  • Limitation of personal risks and minimum requirements for internal organizational measures
  • Designing the interfaces between Compliance, Data Protection, IT, Central Office and Internal Audit
  • How does an optimal interaction with compliance work? Minimum requirements for building an overall Internal Control System

 

Target Group – Compliance – IT – Internal Audit

  • Board members and managing directors of banks, financial service providers, insurance companies, leasing and factoring companies
  • Compliance officers and employees of Compliance and Legal Departments, Head of Internal Audit, Data Protection Officer,
  • Central office, lawyers, specialists and executives in the area of ​​compliance

 

 

Your benefit – Compliance – IT – Internal Audit

> Practical implementation of a compliance system – new duties of care and liability risks for the compliance function – Whistle-Blowing-System according to §25 KWG new
> Compliance interfaces with data protection, central office and internal audit
> Minimum requirements for an overall ICS with compliance, corporate governance, data protection, internal audit and central office

 

 

Your advantage – Compliance – IT – Internal Audit

Each participant receives the following S & P products:
+ Complete documentation for the modular structure of a compliance and corporate governance system (including EBA requirements, scope: approx. 40 pages)
+ Checklist: Data protection for practitioners
+ Checklist: Monitoring and documentation of control actions
+ Checklist: Checking the orderliness of the business organization
+ Sample report for the reporting of guarantors and agents
+ Sample instruction for setting up a test-proof ICS system (approx. 50 pages)

 

 

Compliance - IT - Internal Audit

 

 

 

Participants to the seminar – Compliance – IT – Internal Audit

“Everything good, very pleasant atmosphere, very good organization.” Seminar in Munich

 

 

Program – Compliance – IT – Internal Audit

 

 

Implementation of a Compliance System

> Requirements of the German MaRisk and the European banks Banking supervision – to a compliance system
> Organization and staffing of the compliance function
> Obligations as an officer – BGH judgement of 17 July 2009 on the responsibility of agents
> Limitation of personal risks for the risk controlling function, compliance function and internal audit function
> Minimum requirement for a Whistle-Blowing-System according to §25a German Banking Act
> Reporting compliance: monitoring and control plan, samples for audit-proof reporting
All participants receive the following S & P products
+ Complete documentation for the modular structure of a compliance system (including EBA specifications, scope: approx. 40 pages).

 

 

Compliance interfaces to data protection, IT officer and Internal Audit – Compliance – in the focus of banking supervision

> Establishment of a risk-oriented and process-independent internal audit
> Risk-oriented review, documentation and reporting by Internal Audit
> Modules of an effective data protection system
> Rights and duties of the data protection officer – Optimizing the interfaces between compliance, IT officer and data protection
> Avoid duplication – clearly assign interfaces and tasks
Each participant receives the following S & P products
+ Checklist: Data protection for practitioners acc. §9 BDSG
+ Checklist: Monitoring and documentation of control actions

 

 

§ 25 KWG: Minimum requirements for an overall internal control system with compliance, data protection, internal audit and central office

> ICS significance for banking supervision
> ICS system: control matrix for business processes and functional checks – high reliability through systemic implementation in practice
> How does an optimal interaction between the different agents work?
> Define areas of responsibility between Compliance, Risk Controlling, Central Office, IT, ICS Officer, Internal Audit and Data Protection Officer

 

 

§ 25 KWG: due diligence and monitoring obligations of the management – Compliance – IT – Internal Audit

> Which new due diligence obligations must guarantors, representatives, management, supervisory board and § 25 KWG new committees fulfill compulsorily?
> Establishment of an ICS management report – Ensuring the monitoring obligations in the management board / management
Each participant receives the following S & P products:
+ Checklist: “Checking the regularity of the business organization according to §25 KWG new”
+ Sample instruction for setting up a test-proof ICS system (approx. 50 pages)
Compliance – IT – Internal Audit

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