Board members and managing directors at banks and financial service providers, compliance officers and deputies
With the seminar, you will receive your certificate as proof of your expertise
(e.g. for submission to BaFin)
Interface to Outsourcing AT 9 MaRisk
Interface Compliance Officer to ISB and DPO
Duties as a Compliance Officer: Monitoring + Control
30.09.-01.10.
Munich
……
…..
Interface to outsourcing AT 9 MaRisk
Optimal interaction with the central outsourcing officer design:
Pre-outsourcing analysis according to MaRisk AT 9 and EBA guidelines:
What does the compliance officer have to pay attention to in the adaptation processes AT 8 MaRisk have to pay attention to?
AT 8.1 MaRisk: Securely integrate annual New Product Check
Interface Compliance Officer to ISB and DPO
Regulatory requirements for IT governance:
AT 7: Audit focus on IT compliance:
MaRisk Compliance
Duties as Compliance Officer: Monitoring + Control
Acute need for action for the compliance function from EBA and SREP requirements
Fulfil due diligence obligations as a Compliance Officer safely – Limiting risks from the guarantor position in a targeted manner
Avoiding legal risks:
Control Plan Compliance:
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