Compliance: How to perform a compliance review of conflicts of interest

This course is offered in co-operation with the Financial Services Educational Centre (Finanssektorens Uddannelsescenter), who is responsible for the teaching.

This two-hour online course in English offers you inspiration and ideas as to how to perform a compliance review or gap analysis of the area of conflicts of interest.

The course is relevant for 2nd line compliance officers in both smaller and larger institutions, who have some experience in compliance methods and tasks. It may also be of interest to those who work with managing and reporting conflicts of interest on a daily basis. Participation in the course requires a good understanding of English.

Benefits:

• You will gain knowledge of the relevant rules relating to conflicts of interest which require compliance monitoring.
• You will receive practical ideas as to how to identify and perform relevant compliance reviews on the subject.
• You will receive inspiration and tips as to how you can fulfil your compliance obligations in relation to conflicts of interest.
• You will gain insight into industry standards and expectations from the Regulator.
• You will meet your peers from other institutions, thereby making useful contacts and enlarging your network of compliance officers faced with similar challenges in their daily work.

Course content
During the course, we will examine the rules relating to conflicts of interest and how to work with them. The approach will be hands-on in order to give you some practical ideas as to what to look for when preventing and managing conflicts of interest.

The course will address the following

• The secret to why conflict management matters… (and common misconceptions)
• Principles and concepts used in conflicts of interest risk management
• Documentation requirements (policy, register, procedures)
• The interesting crossover between MiFID II and MAR
• Inspiration for 1st, 2nd and 3rd line controls
• Industry standards and expectations from Regulators

During the session you will be able to pose questions to the instructor about specific challenges or concerns on the subject that you meet in your work. There will also be short questions or dilemmas, which will be discussed either in groups or in plenum.

Program
The course is on-line and has a duration of approximately 2 hours. It will be possible to ask questions via the chat or microphone functions. You should be prepared to take an active part during the course and to have your camera on. If there is group work, it will take place in chat rooms. Preparation time is approximately 1 hour.

About the instructor
The course instructor is Gabrielle Burne, Head of Conflict Management, Central Compliance, Danske Bank. Gabrielle has been working in global financial institutions managing conflicts of interest since 2004 when she transferred to financial compliance from a legal career in civil litigation.

Payment
The invoice will be sent aprox. 14 days prior to start. If you want this invoice issued to your employer, please inform us of this either by registering or by sending an email to the email address below.

If you tried to pay when registering and failed, you are still registered and will instead be sent an invoice, as described above.

Cancellation
You can cancel free of charge up to 14 days before start. After this, the participation fee will not be refunded, and any invoice will be due.

Other info
Your name, position, email, and company may be disclosed to the instructor and conference venue, solely for the purpose of their conducting of the event. You may object to the disclosure of your personal data at any time. You can do so by sending an email to clu-gdpr@finansforbundet.dk indicating the name of the event.