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Expertise Supervisory Board

In this seminar, you will learn everything you need to know about the rights and duties of the supervisory board in financial companies. The interface commissioner system will be presented in detail and you will get to know the new risks and tasks of the supervisory board. In addition, you will learn how to organise the work of the supervisory board in an audit-proof manner.

A20 Expertise suprvisory Board

Expertise Supervisory Board

Supervisory board members, managing directors and board members of financial companies, newly appointed supervisory board members, proof of expertise for supervisory board members


Plus 19% VAT.
  • With the seminar, you will receive your certificate as proof of your expertise

  • Rights and Duties of the Supervisory Board in Financial Companies

  • Interface Commissioner System: New tasks and
    Risks for the Supervisory Board

  • Audit-proof organisation of the supervisory board’s work


  • Day 1

    Rights and duties of the supervisory board in financial companies

    Know the most important tasks from the KWG

    • Discussion of the business and risk strategy
    • Compliance with banking supervisory regulations
    • Minimum requirements for risk management
    • The most important regulatory ratios

    Liability trap: material risks and risk decisions that deviate from them

    Self-Assessment Supervisory Board and Executive Board

    Remuneration systems for managing directors and employees

    Interface between the commissioner system: New tasks and risks for the supervisory board

    Model of the three lines of defence: Overview of the commissions

    When must the supervisory board actively intervene?

    Information and control duties of compliance officers:

    • MaRisk compliance and WpHG compliance
    • Money Laundering Officer and Fraud Officer
    • Internal Audit and Audit Officer

    Implementation of BAIT / KAIT / VAIT / ZEIT:

    • Information Security Officer and Data Protection Officer

    Tasks of the new commissions at a glance:

    • Outsourcing officer and single officer

    Requirements for minimum content and quality of agent reporting

    Liability trap: Ad hoc reporting: safe behaviour in the escalation process

    Audit-proof organisation of the supervisory board’s work

    Articles of association and supervisory board regulations: Which control obligations must be observed?

    Establish a multi-year risk-oriented monitoring plan:

    • Information and control obligations from MaRisk
    • Duties from the MiFID Organisational Regulation and the MaComp

    Ensure the effectiveness of the

    • Risk Management System
    • Money Laundering Prevention System
    • Internal control system
    • Internal audit system

    Minimum requirements for risk management:

    • What duties of care must the managing director and the supervisory board
      have to fulfil?
    • Essential innovations of MaRisk and the EBA guidelines
    • New tasks for the MaRisk functions

S+P Tool Box

  • S+P Tool: Supervisory board panel for monitoring reporting obligations
  • S+P Check: Model rules of procedure for the supervisory board
  • S+P Check: Regularity of the business organisation
  • S+P Compact Guide: Risk Management in Finance Companies
  • Day 2

    The annual financial statements as an information tool for the supervisory board

    • The most important regulations of the RechKredV and the HGB for financial companies.
    • Overview of the balance sheet items
    • Valuation regulations for fixed and current assets

    Special valuation standard for financial instruments

    • Securities held for trading
    • Securities in the liquidity reserve and
    • Securities held as fixed assets

    Identify and monitor risks and hidden losses

    Receivables from customers and the creation of specific valuation allowances

    Accounting for valuation units

    Breakdown of equity capital and derivation of risk-bearing capacity

    • Equity capital: Difference between HGB and KWG
    • Hidden and open reserves (§ 340 f HGB and § 340 g HGB)

    Target capital ratio: Pillar 2 Requirement (P2R) and Pillar 2 Guidance (P2G)

    Specifically scrutinise sources of income and their changes

    Overview of income statement items:

    • Analyse expenses and income for financial companies
    • General administrative expenses

    Valuation of receivables and securities

    General and special audit duties of the supervisory board

    • Minimum requirements for the layout of the management report
    • To assess the plausibility of the opportunities and risks of future development and correctly assess
Supervisery Board Financial Companys
Supervisery Board Financial Companys