We provide training manual digests (hardcopy), based on our training material delivered at Public Training and other presentations.
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All material will reflect the most current public training course material. For course content please refer to the Public Training pages. Please note that 23 % VAT rate applies. Prices include postage.
Anti-Money Laundering/Counter-Terrorist Financing (last updated December 2011)
FULL DAY course, delivered by an Irish based internationally experienced anti-financial crime consultant and Chartered Accountant. Our trainer is also a non-executive director of financial firms where these laws also apply. The course examines & gives practical guidance & high quality training material on (a) new Irish anti-money laundering/terrorist financing laws and (b) Guidance Notes. Will enable attendees to practically implement the Criminal Justice (Money Laundering and Terrorist Financing) Act.
Key differences between the new Irish AML regime and those of the UK and the USA will be addressed.
Capital Requirements Directive (last updated October 2011)
This course will provide an intensive in-depth instruction in the requirements of the first, second and third Capital Requirements Directives (and of the Banking Consolidation Directive) as they have been transposed into Irish law and as they affect investment firms. Featuring worked examples and walking through an entire quarterly filing, the course demonstrates how to make submissions for both simple firms and complex firms with a trading book. The course also considers how to carry out the Pillar 2 ICAAP process and covers the Pillar 3 required public disclosures
The course will cover what you need to do to calculate your capital requirements and complete an automated filing.
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Central Bank Inspections & Enforcement (last updated November 2011)
This half day course provides a practical, hands-on workshop for directors, senior management, compliance officers, MLROs and operational staff on the Central Bank's supervision and enforcement perspective. It iwll also look at understanding risk-assessment models used by the Central Bank.
The Central Bank's powers are extensive and increasing. New laws, new powers and increases in inspection and enforcement staff will see the Central Bank meet its stated sanctions policy objectives to: (i) promote compliance; (ii) operate in the public interest; and (iii) support the economic, efficient and effective pursuit of its strategy. Knowing how to prepare and manage a visit by the Central Bank is crucial. Getting it wrong will be costly in terms of management time, sanctions and a loss of reputation.
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Code of Conduct on Mortgage Arrears (last updated July 2011)
This 2 hour course aims to provide course attendees with an understanding of the revised Code of Conduct on Mortgage Arrears which became effective on 1st January 2011. This course will describe the basis and scope of the code. It takes a practical look at the arrears handling process and considers the timelines and documentation involved in processing arrears cases.
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Complaints Handling & Treating Customers Fairly (last updated November 2011)
The aims of this course are to help firms understand Central Bank’s and the FSO’s complaints handling requirements and how to work towards meeting the principle of Treating Customers Fairly (“TCF”).
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Data Protection and How to Conduct a Data Protection Audit (last updated December 2011)
This full day course is essential for any firm that uses personal data of customers and/or staff. Delivered in two workshops:
• The morning workshop examines (a) the Data Protection laws & the eight data protection principles (i.e. collection, treatment, permitted processing, retention, storage & security of electronic and manual personal data); and (b) practicalities of compliance (i.e. drafting policies & procedures, staff training, privacy statements) and responsibilities of the Data Protection Officer.
• The afternoon workshop develops relevant skills required to confidently carry out a data protection audit.
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Directors' Duties and Corporate Governance (last updated February 2012)
This full day course provides a practical, hands-on workshop for directors (both Executive and in particular non-Executive) and senior management of Irish regulated credit, financial, insurance and reinsurance services firms, including investment funds.
The course is led by an experienced accountant with specialist experience in financial services, directors’ duties and corporate governance. The creator and presenter of this course is: (i) a non-executive director of Irish financial firms; (ii) in the first group to undertake in Ireland the ‘Chartered Director’ academic qualifications (the international benchmark for directors); (iii) present extensively on the topic of directors’ duties at Irish financial firms. With our experience and qualifications we will provide insightful and practical guidance on the role of directors of financial and insurance entities.
Establishing the Internal Audit Function
This new half day course provides an introduction to the work of the internal audit function, setting out the role and place of the function in the regulated financial and insurance services business.
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Implementing the Directive on Alternative Investment Fund Managers (AIFM Directive) (last updated November 2011)
This Directive governs the regulation of hedge funds, private equity funds and other nationally-authorised (non-UCITS) mutual funds. The Framework Directive has been published and came into force on 21st July 2011. The Directive will be implemented into Irish law by 22 July 2013, but the Level 2 Implementing Directive consultations are already starting and this is where the main impact on businesses will be determined.
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Implementing the Fit & Proper Regime in your Business (last updated November 2011)
This 2 hour course aims to provide course attendees with a better understanding of the key points of the Fit & Proper Regime and how implementing the regime will affect their business.
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Implementing UCITS IV (last updated October 2011)
This half day course aims to provide attendees with the necessary understanding of the UCITS IV Regulations and the underlying Directive, to understand the various requirements and better implement them in their business.
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Introduction to Financial Services Regulation in Ireland (last updated September 2011)
This course will provide a detailed introduction to the role of the Central Bank and how financial services are regulated in Ireland. This course is designed to enable people working in financial services to understand the European regulatory framework, how it fits with domestic regulations and how your business is affected. The course looks across various industry sectors and highlights the common themes and likely future developments as well as giving practical guidance on current requirements.
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Risk-Based Compliance Monitoring for Financial Institutions (last updated December 2011)
This intensive half day course provides a practical, hands-on workshop for both the seasoned and less experienced Compliance professional. The workshop focuses on what you need to do to demonstrate an effective Risk-Based Compliance Monitoring Programme (“RBCMP”).
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Role of the Compliance Officer - for Banks and Investment Firms (last updated September 2011)
The Role of the Compliance Officer in Ireland has changed dramatically. Yet the responsibilities of the compliance staff are not defined in any Code, Rule or Handbook. This course will help Compliance Officers establish the parameters of their roles and responsibilities and will provide practical tips on implementing the principles-based approach to regulation.
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Role of the Compliance Officer - for Insurance Firms (last updated November 2011)
The Role of the Compliance Officer in Ireland has changed dramatically. Yet the responsibilities of the compliance staff are not defined in any Code, Rule or Handbook. This course will help Compliance Officers establish the parameters of their roles and responsibilities and will provide practical tips on implementing the principles-based approach to regulation.
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Understanding Funds in Ireland (last updated November 2011)
This course will examine the key frameworks governing the regulation of investment funds in Ireland. While the concept of the Trustee is central to this, the course is also designed to provide fund directors and persons working in fund administrators, legal and accounting firms with a panoramic view of the relevant duties and regulatory obligations imposed on them.
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Understanding MiFID (last updated November 2011)
This full day course provides a practical, hands-on workshop on the Irish Regulations (S.I 60 of 2007) implementing MiFID Regulations, amendments thereto and will focus on the key MiFID requirements and best practice. We act for many firms obtaining MiFID authorisation and we will share our experiences of the Central Bank's requirements with attendees.
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Understanding Solvency II (last updated December 2011)
The aims of this full day course are to provide an introduction to the implementation of the Solvency II Directive in Ireland.
Solvency II is a European Union legislative initiative for regulating insurance businesses by setting out capital and corporate governance requirements. This represents a major change in the way insurance undertakings organise themselves and are regulated. It takes effect in October 2012 and will bring about a significant change in the way risk is viewed. Firms must define their own risk profile and show that they have sufficient capital to meet this level. Firms must also demonstrate that they have sufficient risk management and corporate governance mechanisms in place.
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