Corporate Governance Training Courses

Corporate Governance Training

Corporate Governance Courses

Client Testimonials

The Compliance and MLRO Refresher Programme

Audience participation was good and involving

Munice Khan - MasterCard/DataCash

The Compliance and MLRO Refresher Programme

It was very good training, good pace, very comprehensive. 

Excellent course content, delivered very well. Actually enjoyed the training and was a very good brush up of knowledge.

Trainer, Richard was very good

Lisa Johansen - PAYS Services UK Limited

Corporate Governance Course Outlines

Code Name Duration Overview
amlctf Anti-Money Laundering (AML) and Combating Terrorist Financing (CTF) 14 hours Audience All Senior Management who need a working knowledge of AML / CTF and their prevention – and an awareness of the other relevant and current Financial Crime issues; Format of the course A combination of: Facilitated Discussions Slide Presentations Case Studies Examples Course Objectives By the end of this course, delegates will be able to: Explain how AML and CTF might be prevented Understand the major facets of AML and CTF as they apply to their companies and the national and international efforts being made to combat them Define the ways in which a company and its staff should protect themselves against the risks of Money Laundering and Terrorist Financing Detail how a company might become a target for Money Laundering and Terrorist Financing: and explain which “red flags” might help them to identify, prevent and report any (suspicious or actual) criminal activity Understand some of the other “hot spots” in Financial Crime Anti-Money Laundering (AML) and Countering Terrorist Financing (CTF) Understanding Money Laundering and Terrorist Financing What are AML and CTF: and how do they work? The Criminalisation of Money Laundering and Terrorist Financing: and the types of crimes caught under the Financial Crime Prevention legislation The expansion of Money Laundering from drugs to corruption to terrorism The International Community’s response to AML and CTF The International Community’s response to AML and CTF post-9/11 Especially the Financial Action Task Force (FATF): Its membership categories (this can include a section on particular countries&rsquo membership) Its 40 Recommendations for AML and a further 9 Recommendations on CTF Its influence over domestic and international legislation Compliance with Anti-Money Laundering Legislation International Legislation and legislation applicable to the country where the course is being delivered UK Regulations and Legislation (for comparison): principally The Proceeds of Crime Act 2002 (POCA) Compliance Strategies Internal Controls, Procedures and Policies Cooperation with the Authorities and the Regulators Know Your Customer (KYC) and Identification and Verification (ID&V) Rules Impact on Strategy, Client Relations and Human Resources Recognising and Reporting Suspicious Transactions Statutory Obligations Identifying suspicious transactions Internal and external reporting of suspicious transactions Money Laundering Detection Techniques Prevention, Detection and Due Diligence Early-Warning Mechanisms The Future Where are today’s hotspots…? What next for AML / CTF…? Other Financial Crime Hotspots Fraud Information Security Market Abuse and Insider Dealing Sanctions
corpgov Corporate Governance 7 hours Audience All staff needing a working knowledge of Corporate Governance for their organisation Format of the course A highly-interactive combination of: Facilitated Discussions Slide Presentations Examples Exercises Case Studies The Background to Corporate Governance Definition of Corporate Governance The History of Corporate Governance Importance of Corporate Governance Corporate Governance around the world Who needs to be involved in a Company’s Corporate Governance? The Duties and Responsibilities of the Company’s officers (including Directors) Corporate Governance principles related to: Organisational Structure (hierarchy) Shareholders and Stakeholders Board responsibilities Integrity Disclosure / Transparency Management Committees and their responsibilities including: Compliance and Audit Committee Remuneration Committee Nomination Committee Credit (Finance) Committee Others as required Controls and Policies Internal and External controls and regulation Self-regulation by Board / Management (monitored through Management Committees) Enforcement Rules (mandatory) v Principles (optional) Government Regulations Codes and guidelines Policies to be established including: Financial Crime – AML, KYC etc. Whistle-blowing Complaints Handling Risk – financial / operational Corporate Responsibility Staff (including Health and Safety)
intrcgov Integrated Risk & Corporate Governance 35 hours Overview Across the globe regulators are increasingly linking the amount of risk taken by a bank to the amount of capital it is required to hold and banks and financial services are increasingly being managed on risk-based management practices. The banks, their products, the regulations and the global market are becoming increasingly complex, driving ever greater challenges in effective risk management. A key lesson of the banking crisis of the last five years is that risks are highly integrated and to manage them efficiently banks have to understand these interactions. Key features include: the explanation of the current risk-based regulations detailed review of the major risks faced by banks industry best practices for adopting an enterprise approach to integrating risk management across an entire organisation using governance techniques to build a group wide culture to ensure everyone takes an active role in managing risks in line with the banks strategic objectives what challenges could be faced by risk managers in the future. The course will make extensive use of case studies designed to explore, examine and reinforce the concepts and ideas covered over the five days. Historical events at banks will be used throughout the course to highlight how they have failed to manage their risks and actions that could have been taken to prevent loss. Objectives The objective of this course is to help bank management deliver an appropriate integrated strategy for managing the complex and changing risks and regulations in today’s international banking environment. Specifically this course aims to give senior level management an understanding of: major risk within the financial industry and the major international risk regulations how to manage a bank’s assets and liabilities whilst maximising return the interaction between risk types and how banks use an integrated approach for their management corporate governance and the best practice approaches to managing the diverse interests of the stakeholders how to develop a culture of risk governance as a tool for minimising unnecessary risk taking Who should attend this seminar This course is intended those who are new to integrated risk management, senior management responsible strategic risk management, or those who wish to further their understanding of enterprise risk management. It will be of use to: Board level bank management Senior managers Senior risk managers and analysts Senior directors and risk managers responsible for strategic risk management Internal auditors Regulatory and compliance personnel Treasury professionals Asset and liability managers and analysts Regulators and supervisory professionals Suppliers and consultants to banks and the risk management industry Corporate governance and risk governance managers. An introduction to risk What is risk and why should banks manage it? Is risk just a downside experience? The global nature of banking and risks An introduction to the major types of risk in banks The potential consequences of failing to manage risks in banks Risk Appetite Risk Management Case study International risk regulations What are risk-based regulations? Linking risk with capital What is capital adequacy? Key international regulations Basel Accord Sarbanes-Oxley Case Study The Basel Accords The development of international banking risk regulation The objectives of banking risks The challenge of global regulations The Basel I Accord and the Market Risk Amendment The Basel II Accord Capital under Basel II Basel 2.5 and Basel III The leverage ratio Countercyclical capital buffer Systemic interconnectedness Case study: Capital under Basel III Market risk What is market risk? Market activities and why trade The main market instruments Cash instruments Derivative instruments Managing market risk Market risk measurement and management Market risk regulation Basel II Basel III Case study: The consequences of mis-managing market risk – JP Morgan Credit risk What is credit risk Credit products in an international market Mitigating and managing credit risk The credit process The credit analysis process Portfolio Management Credit risk measurement Credit risk regulation Basel II Basel III Case study Operational risk What is operational risk and why is it important? Risk of loss, expected and unexpected losses Operational risk event types Three lines of defence Operational risk management Operational risk management framework Where to start? Who does operational risk management report to? What is included under operational risk management? Measuring and assessing operational risk. Operational risk regulation Basel II Basel III Case study: UBS Liquidity risk What is liquidity risk? Types of liquidity Consequences of not managing your liquidity Sources of liquidity Measuring liquidity Stress testing Managing liquidity Liquidity risk regulation Basel II Basel III Case study: Asset and Liability Management and other risks What is Asset and Liability Management ALCOs and Treasuries Banking book verses Trading Book Interest rate risk in the banking book Measuring and managing IRRBB Contractual verses behavioural Stress testing  ‘Other’ risks Case study: Supervision & disclosure What is supervision and disclosure Home/host supervisory co-operation The ICAAP Supervision and disclosure under Basel The Basel III changes Case study: Defining Enterprise Risk Management What is ERM? The benefits of ERM The ERM process The risk management function Portfolio management New product development Basel Committee guidance Commonly adopted frameworks Case study Integrated risk management Integrating risks across the bank Risk committees Risk policies Risk recognition and assessment Adding risk across risk types Economic capital Interaction between risk types Case study Corporate Governance What is corporate governance? Who are the stakeholders and what are the conflicts between them? What are the benefits of good corporate governance? Development of corporate governance - Cadbury, Walker, Hicks reports The external view of Corporate Governance (rating agencies, regulators) Case study: Can a bank be “Too big to manage”? Good corporate governance Corporate structures The role of non-executive directors Techniques and strategies Committees and management practices Communication The role of senior management Internal framework of Corporate Governance OECD and Basel guidance Case study: Risk Governance Risk management governance Creating a culture of risk awareness Implementing a risk culture Risk management committees Governance, risk and compliance Case study: The future The new regulatory regime Implications for the banking industry Implications for regulators Priorities in the global banking regulatory agenda Future flashpoints
compmlro The Compliance and MLRO Refresher Programme 7 hours The Compliance and MLRO Refresher Programme examines the key risk management issues and topics that are of vital importance in today’s highly-regulated environment. As well as being targeted at Compliance Officers, MLROs, MLCOs and other risk management professionals it is also aimed at members of senior management and board members keen to know more about what to expect from the risk control functions within their organisations. The Programme is lectured by subject-matter-expert from the UK. The key learning objective of the Programme is to equip attendees with sufficient knowledge to assess objectively the adequacy of their organisation’s existing risk management controls and practices and to make appropriate enhancements. Identifying and Evaluating Key Risks Analysing the role of the Compliance Officer, the MLRO, the MLCO, Internal Audit and the Board What makes an effective Compliance Officer? Accountability of the Compliance Officer Interdependencies with other control functions Primary, secondary and on-demand compliance The Compliance Officer’s Activities – and the support required Designing and Implementing an Effective Compliance Framework including a Monitoring Programme Analysing legal and regulatory rules Identifying risks Designing control and procedures Generating management information Creating an effective compliance culture Monitoring Compliance and Corporate Governance Concepts in Corporate Governance and how these help manage risk Whistle blowing Role of the director Creating an effective board Differentiating the roles of the executive and non executive director Creating and effectively utilising Corporate Governance committees e.g. Audit, Remuneration Financial reporting and Corporate Governance The Turnbull Report and effective risk management The Latest Local and International Regulatory Issues Surrounding Compliance and Financial Crime Prevention Issues in Compliance Issues in Anti-Money Laundering (AML) and Combating Terrorist Financing (CTF) Issues in Fraud Issues in Identity Theft Issues in Phishing Managing the Risk of Money Laundering Offshore Issues, PEPs and EPs Know Your Client (KYC) and Identification & Verification (ID&V) A Risk-Management Approach Case studies Other Regulatory Risks Information Security and Data Protection Market Abuse and Insider Dealing Bribery and Corruption Sanctions …and other types and Risks in on-shore and off-shore Banking Human Factors in Risk Management Understanding the importance of human error in procedures-driven environments Common human factor problems Steep authority gradients Reliance vacuums Dominant individuals Identifying and addressing human factor issues Developing an effective compliance culture Criminal Abuse of Private Banking Services, Trusts and Corporate Services companies Offshore companies and corporate services analysed Offshore trusts and trustee services analysed The criticality of fiduciary duty Understanding commercial rationale AML trust and company vulnerabilities Examples of abuse Case studies
grmcfun Governance, Risk Management & Compliance (GRC) Fundamentals 21 hours Course goal: To ensure that an individual has the core understanding of GRC processes and capabilities, and the skills to integrate governance, performance management, risk management, internal control, and compliance activities. Overview: GRC Basic terms and definitions Principles of GRC Core components, practices and activities Relationship of GRC to other disciplines   Day One GRC Fundamentals Training Course Overview GRC Capability Model –Introduction GRC Key Definitions Day Two Learn Component Align Component Perform Component Day three Review Component GRC standards and frameworks GRC applications and technology GRC certifications

Course Discounts

Course Venue Course Date Course Price [Remote/Classroom]
RabbitMQ London, Barbican Mon, 2016-11-07 09:30 £1832 / £2432
MariaDB Database Administration Bristol, Temple Gate Wed, 2016-11-09 09:30 £1733 / £2333
MongoDB for Administrators London, Barbican Mon, 2016-11-14 09:30 N/A / £2432
MongoDB for Advanced Users Birmingham Wed, 2016-11-16 09:30 £1733 / £2358
Big Data Architect London, Barbican Mon, 2016-11-21 09:30 £4406 / £5756

Upcoming Courses

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