'Compliance function' presentation slideshows

Compliance with the Financial Advisory & Intermediary Services Act

Compliance with the Financial Advisory & Intermediary Services Act. Presented by FAIS Department of the Financial Services Board and Compliance Institute of South Africa. Compliance risk management. Presented by the Compliance Institute of South Africa. Supervision of FSPs.

787 views • 42 slides

Caribbean Indigenous Banks Anti-Money Laundering Survey

Caribbean Indigenous Banks Anti-Money Laundering Survey. An analysis of the local challenges. Patricia Hamilton CEO Caribbean Association of Indigenous Banks Inc. -. Know your customer (KYC). Account Opening. -. Anti. money laundering standards and procedures. An Integrated Approach.

400 views • 39 slides

Compliance Function & Risk Management

433 views • 24 slides

Corporate Compliance: Compliance Framework and Hot Topics

Corporate Compliance: Compliance Framework and Hot Topics. Tammy Eisenberg Executive Director, Corporate Compliance CLS Group March 6, 2014. Disclaimer. The views represented herein are solely those of the author and do not necessarily represent the views of the CLS Group.

455 views • 21 slides

The Critical Role of Compliance in the Boardroom Kevin Knightly CEO, Rabobank Ireland

370 views • 18 slides

UNIVERSITY OF CALIFORNIA Ethics & Compliance Program

UNIVERSITY OF CALIFORNIA Ethics & Compliance Program . Sheryl Vacca SVP/Chief Compliance and Audit Officer Office of Ethics, Compliance and Audit Services (ECAS). Objectives. Learn why and how the UC Ethics and Compliance Program was established

519 views • 16 slides

The University of Texas System Institutional Compliance Program

The University of Texas System Institutional Compliance Program. The Compliance Officer. The Compliance Officer. Responsibilities and activities Who to Appoint. Compliance Office Responsibilities. Make compliance a part of everyday activities of the institution

719 views • 15 slides

Compliance function

Compliance function. Key Individual chapter 3. 50. Requirements for approval of compliance officer. Source: Section 35 (1) (c) and 17 (1) (a) of FAIS ACt. 50. Role and function of compliance officer. Source: Section 17 of FAIS Act. Monitor compliance with the Act

671 views • 13 slides