Training Course on Compliance and Regulatory Frameworks in Finance

Course Outline

Module 1: Introduction to Financial Regulations and Compliance

ü  Overview of global financial regulatory bodies

ü  Key principles of financial compliance

ü  Role of compliance officers in financial institutions

ü  Regulatory frameworks: US, EU, and regional perspectives

ü  Practical Session: Analyzing a compliance breach case study

Module 2: Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF)

ü  AML/CTF laws and international standards

ü  Risk-based approach to AML compliance

ü  Red flags and suspicious activity reporting

ü  Role of financial intelligence units (FIUs)

ü  Practical Session: Conducting an AML risk assessment

Module 3: Know Your Customer (KYC) and Customer Due Diligence (CDD)

ü  KYC regulations and best practices

ü  Enhanced due diligence for high-risk clients

ü  Digital identity verification and e-KYC

ü  Managing politically exposed persons (PEPs)

ü  Practical Session: Simulating a KYC onboarding process

Module 4: Basel Accords and Banking Regulations

ü  Overview of Basel I, II, and III

ü  Capital adequacy and liquidity requirements

ü  Stress testing and risk management

ü  Impact of Basel regulations on banks

ü  Practical Session: Calculating capital adequacy ratios

Module 5: Corporate Governance and Ethical Compliance

ü  Principles of corporate governance

ü  Board responsibilities and compliance oversight

ü  Ethical dilemmas in finance

ü  Whistleblowing and compliance culture

ü  Practical Session: Developing a code of ethics

Module 6: Financial Crime Prevention and Fraud Detection

ü  Types of financial fraud and scams

ü  Fraud detection techniques and tools

ü  Role of internal controls in fraud prevention

ü  Investigating financial crimes

ü  Practical Session: Fraud risk assessment exercise

Module 7: Regulatory Reporting and Audits

ü  Key regulatory reporting requirements

ü  Preparing for compliance audits

ü  Common audit findings and corrective actions

ü  Role of internal vs. external audits

ü Practical Session: Drafting a regulatory compliance report

Module 8: Data Privacy and Cybersecurity Regulations

ü  GDPR and other data protection laws

ü  Cybersecurity risks in financial institutions

ü  Compliance with digital security standards

ü  Incident response and breach reporting

ü  Practical Session: Conducting a data privacy impact assessment

Module 9: Fintech and Digital Finance Compliance

ü Regulatory challenges in fintech and digital banking

ü  Compliance for blockchain and cryptocurrencies

ü  Open banking and API regulations

ü  RegTech solutions for compliance automation

ü Practical Session: Evaluating a fintech compliance framework

Module 10: Emerging Trends in Financial Regulation

ü Impact of AI and machine learning on compliance

ü  Sustainable finance and ESG regulations

ü  Cross-border regulatory cooperation

ü  Future of financial regulation

ü  Practical Session: Group discussion on regulatory trends

Requirements

ü  Participants should be reasonably proficient in English. 

ü  Applicants must live up to Phoenix Center for Policy, Research and Training admission criteria.

Terms and Conditions

1. Discounts: Organizations sponsoring Four Participants will have the 5th attend Free
2. What is catered for by the Course Fees: Fees cater for all requirements for the training – Learning materials, Lunches, Teas, Snacks and Certification. All participants will additionally cater for their travel and accommodation expenses, visa application, insurance, and other personal expenses.
3. Certificate Awarded: Participants are awarded Certificates of Participation at the end of the training.
4. The program content shown here is for guidance purposes only. Our continuous course improvement process may lead to changes in topics and course structure.
5. Approval of Course: Our Programs are NITA Approved. Participating organizations can therefore claim reimbursement on fees paid in accordance with NITA Rules.

Booking for Training

Simply send an email to the Training Officer on training@phoenixtrainingcenter.com and we will send you a registration form. We advise you to book early to avoid missing a seat to this training.

Or call us on +254720272325 / +254737566961 

Payment Options

We provide 3 payment options, choose one for your convenience, and kindly make payments at least 5 days before the Training start date to reserve your seat:

1. Groups of 5 People and Above – Cheque Payments to: Phoenix Center for Policy, Research and Training Limited should be paid in advance, 5 days to the training.
2. Invoice: We can send a bill directly to you or your company.
3. Deposit directly into Bank Account (Account details provided upon request)

Cancellation Policy

1. Payment for all courses includes a registration fee, which is non-refundable, and equals 15% of the total sum of the course fee.
2. Participants may cancel attendance 14 days or more prior to the training commencement date.
3. No refunds will be made 14 days or less before the training commencement date. However, participants who are unable to attend may opt to attend a similar training course at a later date or send a substitute participant provided the participation criteria have been met.

Tailor Made Courses

This training course can also be customized for your institution upon request for a minimum of 5 participants. You can have it conducted at our Training Centre or at a convenient location.

For further inquiries, please contact us on Tel: +254720272325 / +254737566961 or Email training@phoenixtrainingcenter.com  

Accommodation and Airport Transfer

Accommodation and Airport Transfer is arranged upon request and at extra cost. For reservations contact the Training Officer on Email: training@phoenixtrainingcenter.com or on Tel: +254720272325 / +254737566961