Financial Law & Compliance : A Practical Guide
This training offers a comprehensive overview of the key concepts and frameworks related to legal, regulatory, and compliance aspects within the financial sector. You will gain insight into the different approaches to compliance, both broadly and specifically within financial services, and understand the distinctions between EU-level and national regulations. The course will also explore governance structures, including the three lines of defense model, and clarify the roles and expectations set by regulatory oversight institutions such as the NBB and FSMA.
The objectives of this training are:
- to clarify the distinctions between legal, regulatory, and compliance frameworks;
- to provide a thorough understanding of the regulatory environment impacting financial services;
- to familiarize participants with key regulatory expectations from the NBB and FSMA;
- to explore governance structures, focusing on the three lines of defense and the role of compliance as an independent control function;
- to offer practical insights into the application of the Compliance function Circular within organizations.
Prix total *
Membres: € 330
Non-membres: € 360
Partenaires/ BZB: € 330
Incompany: sur mesure, prix à la demande
* Prix : prestation dans le cadre du recyclage régulier, exonérée de TVA
Heures de Recyclage
Banque: 3h général
Assurances: 3h général
Crédit à la consommation: 3h général
Crédit hypothécaire: 3h général
Compliance:
3h
Recyclage
Dates disponibles
14/05/2025 - 09:00u - 12:30u - Financial Law & Compliance : A Practical Guide
Manifestez votre intérêt lorsqu’aucune date n’est disponible, la date planifiée ne convient pas et/ou la session existante est complète. Dès que 5 personnes sont inscrites sur la liste d'intérêt, nous vous proposons une nouvelle date. Votre inscription sur la liste d'intérêt est gratuite et n'induit aucune obligation.
Groupe cible
The training course can be followed by various target groups:
- professionals working in the financial sector;
- compliance officers;
- risk managers;
- legal advisors;
- anyone involved in governance or regulatory compliance.
Connaissances préalables
Advanced level training: this training requires a general basic knowledge of the subject.
Programme
CONTENT
- General concepts
- Legal vs. regulatory vs. compliance
- Compliance
- Broad approach
- Approach in the financial sector
- Summary of the most relevant areas of Compliance in the financial sector
- EU level vs. national level
- Regulation vs. Directive
- Prudential rules vs. rules of conduct
- A few examples
- The Twin Peaks system
- Subsidiary vs. branch
- Overview of the regulatory framework applicable to financial services
- Major regulatory expectations of NBB and FSMA
- Governance
- Board of Directors vs. executive committee
- Three lines of defense system
- The independent control functions
- The role of compliance as second line / independent control function
- The Compliance function Circular
- In practice
PRACTICAL INFORMATION
- Duration: ½ day of training (3 class hours)
- Hours: 09:00 to 12:30
- Location: This training will be given online
- Language: This training will be given in English
- Additional information: How do you start the webinar? You will receive a login and password by email to access our platform. In the platform you will find a link. By clicking on the scheduled date the webinar will start via Webex.
To be granted CPD hours, it is important to enter your own name and surname, follow the entire training day and answer the questions suggested by the trainer. Do not follow the training with several people on the same PC.
Méthodologie
You follow a ‘Live webinar’ digitally in a group. It is ‘learning-apart-together’. At an agreed time, the teacher and participants log in to a video conference tool, each from his or her own location and with his or her own computer. Via this tool’s camera, microphone and chat function, there is an opportunity for interaction and feedback, both from the participants to the teacher and vice versa. The teaching material consists as a basis of a presentation via the MyFA learning platform, supplemented with various other items (such as digital syllabus, presentation, audiovisual fragments, etc.).
Formateurs
Thomas Faelli
Compliance & audit
