ICA International Advanced Certificate in Regulatory Compliance

Why Attend

The qualification allows you not only to learn more about how to be compliant but also why it is a real benefit, both to your organisation and industry. You will gain an improved understanding of how excellent regulatory compliance management protects your firm, as well as enhances its competitive advantage, including how to maximise the use of new technology. As the world of compliance changes at an ever-increasing pace, this course gives you the specialist knowledge and practical skills to manage regulatory risk both now and in the future. This course is awarded in association with Alliance Manchester Business School, the University of Manchester.

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Course Objectives

  • • Understanding the Regulatory Environment
  • • International Regulation
  • • Compliance in Practice
  • • Managing the Risk of Money Laundering, Terrorist Financing and Proliferation Financing
  • • Financial Crime Prevention
  • The conduct of firms and the behaviour of senior management is a key topic and is interwoven throughout the course units. The conduct agenda forms a key part of the workshop exercises in the UK.

Target Audience

Heads of compliance, AML and financial crime
Money laundering reporting officers
Money laundering prevention officers
Compliance, AML and financial crime managers and senior staff
Senior risk staff
Regulatory representatives
Legal practitioners
Internal and external audit staff
Company secretaries

1. Understanding the Regulatory Environment

  • Why do we need regulation?
  • The objectives of financial services regulation
  • Some background and a regulatory timeline
  • Consumer/investor protection
  • Making markets work well


2. International Regulation

  • Regulators’ roles
  • Global regulatory models
  • Understanding different regulatory approaches
  • Regulatory methodology - the powers of regulators
  • The influence of international bodies and certain jurisdictions
  • Some examples of international influences
  • Appendix


3. Compliance in Practice

  • The compliance function or department
  • The role of the compliance function
  • What is the role of the compliance professional
  • What skills and qualities are required
  • Risk management
  • Conduct risk management
  • Internal and external relationships
  • Links between compliance, culture and ethics


4. Compliance and the Prevention of Financial Crimes

  • What is financial crime?
  • Compliance requirements
  • Money Laundering - How are the proceeds of crime laundered?
  • The objectives of money launderers
  • The risk-based approach to money laundering/terrorist financing
  • Counter - Terrorist financing
  • Fraud and how to prevent it
  • Bribery and Corruption
  • Market manipulation/misleading statements, insider dealing and market abuse


Examples and case study

  • Regulatory objectives – and what they mean in practice
  • Risk based regulation, principles based and outcomes focused regulation
  • Compliance activities – a case study scenario

This course has not been scheduled, however you can request for In-House training