• Understanding regulatory compliance obligations
• Knowing the organizational rules related to the compliance function
• Mastering the main missions related to the role of Compliance Officer
• Knowing how to develop a mapping of non-compliance risks
• Integrating the new obligations related to Sapin 2: mapping of corruption risks, code of conduct, controls, etc.

1/ DEFINITIONS AND PRINCIPLES RELATING TO COMPLIANCE

• Definition of the decree of 3 November 2014
• The principles of AMF position n°2012-17

2/ THE ORGANIZATION OF THE COMPLIANCE FUNCTION AND THE CONTROL SYSTEM

• The organization of the Compliance function
• The different actors
• The risks generated
• The associated internal control system

3/ THE MAIN TASKS OF THE COMPLIANCE FUNCTION

• Ensuring and disseminating the regulatory watch
• Formalizing and disseminating compliance standards and procedures
• Training and informing on the risks of non-compliance and the measures to be implemented
• Providing advice to employees
• Providing written advice on the compliance of new products
• Carrying out and updating the mapping of non-compliance risks
• Carrying out a permanent compliance monitoring role
• Carrying out the project management of applications related to compliance
• Carrying out the function of AML-CFT manager
• Carrying out the function of head of investment services control
• Carrying out the realization of reports to the ACPR (QLB, QPC…)
• Implementing an ethical alert procedure

4/  THE NEW OBLIGATIONS RELATED TO FIR 2:

• Optimizing approaches
• Building tools to prevent corruption
• Risk mapping
• Codes of good conduct
• Controls
• Whisle-blowing

5/ CASE STUDIES: BUILDING A MAPPING OF NON-COMPLIANCE RISKS AND SETTING UP A CONTROL SYSTEM

6/ MULTIPLE CHOICE QUESTIONS TEST OF KNOWLEDGE ASSESSMENT