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Module 3 (activities (core process & procedure (fit & proper,…
Module 3
activities
advice
policy + guidance
ed & training
monitoring
int & ext liaison
core process & procedure
fit & proper
client confidentiality
data protection
rec keeping
AML
risk mgmt
types
interrship btw risks
managing
process
identify
quantify
proactive
assessment
approaches
risk based & cyclical compliance
principles based & rules based compliance
principles for biz
integrity
skill, care & diligence
mgmt & ctrl
fin prudence
mkt conduct
cx int
comms w clients
conflict of int
cx : rship of trust
clients assets
relations w regulators
challenge
diff way of thinking
potential lack of certainty
req of judgment
intnl stds & guidelines
role of cmp officer
duty of board & sen mgmt