C6059 - Compliance function in financial sector

Gain an insight of the applicable regulations, laws and codes of conduct as issued by the Regulator.
See how to deal with compliance issues that the institution might face with new activities and how they assess the impact.
Familiarize with the institutions existing set of regulations, laws and codes of conduct for when broaching new products, activities or new relationships they enter.
Gain insight of all the tasks the institution is performing when coping with avoidance of money laundering and terrorist finance requirements.
See how the institution performs its regular assessment of its set up of its compliance policy.
Gain a view on the issues involved for the institution in case of noncompliance.
Understand the difference of the compliance obligation in the PSF, management companies and AIFM in comparison with banks.
Understand the difference of the compliance obligation in the PSF, management companies and AIFM in comparison with banks.
Understand ethics with regard to investment funds and their origins.

Successful completion of the module « Introduction to IFRS: Overview of Key Standards » (C2026) or proof of equivalent certified knowledge.

26.02.2026

Luxembourg

160 €