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Module 5 : Key compliance issues (specific internal compliance ctrl issues…
Module 5 : Key compliance issues
compliance manual
compliance oversight & internal ctrls
board & sen mgmt
internal ctrls
specific internal compliance ctrl issues
capital adequacy
data protection
client confidentiality
bkg secrecy
staff dealing
stop & watch lists
conflicts of interest
record keeping
internal ctrls
outsourcing
evaluating fitness & properness & competence
client reviews
compliance handbook
creating an effective culture
codes of corporate governance
compliance governance
internal & external relationship
links btw compliance, culture & ethics