MaRisk Compliance

MaRisk Compliance

Board members and managing directors at banks and financial service providers, compliance officers and deputies

732,-€

Plus 19% VAT.
  • With the seminar, you will receive a certificate as proof of your expertise
    (e.g. for submission to BaFin)

  • Interface to Outsourcing AT 9 MaRisk

  • Interface Compliance Officer to ISB and DPO

  • Duties as a Compliance Officer: Monitoring + Control

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Programm

  • 9.15 am – 1.00 pm

    Interface to outsourcing AT 9 MaRisk


    Optimal interaction with the central outsourcing officer design:

    • New service provider management AT 9.7 with risk analysis and new outsourcing report
    • Compliance officer as central outsourcing officer?

    Pre-outsourcing analysis according to MaRisk AT 9 and EBA guidelines:

    • Minimum requirements for the due diligence of a prospective service provider:
    • When is it mandatory to classify an outsourcing as critical / material?

    What does the compliance officer have to pay attention to in the adaptation processes AT 8 MaRisk?


    AT 8.1 MaRisk: Securely integrate annual New Product Check


    Interface Compliance Officer to ISB and DPO


    Regulatory requirements for IT governance:

    • Is the outsourcing data protection compliant?
    • Establish audit-proof interfaces between outsourcing officer, ISB and DPO.

    AT 7: Audit focus on IT compliance:

    • IT strategy, IT environment and IT organisation in focus of the new MaRisk
    • Secure handling of self-developed IT applications, access rights, IT approvals and changes in the IT system

S+P Tool Box

  • S+P Sample: Job description and control plan for the Compliance Officer
  • S+P Test: Monitoring and prevention measures to compliance requirements
  • + S+P Check: System check for the IT system

MaRisk Compliance

  • 2.00 pm – 17.00 pm

    Duties as Compliance Officer: Monitoring + Control


    Acute need for action for the compliance function from EBA and SREP requirements


     Fulfil due diligence obligations as a Compliance Officer safely – limiting risks from the guarantor position in a targeted manner


    Avoiding legal risks:

    • Risk analysis for an audit-proof legal inventory
    • Supervisory law: requirements for a legal inventory
    • Carrying out the qualitatively more stringent risk analysis on the basis of uniform scoring criteria

    Control Plan Compliance:

    • Overview of monitoring and control activities
    • Audit-proof review of compliance requirements
  • 2.00 pm – 17.00 pm

    Duties as Compliance Officer: Monitoring + Control


    Acute need for action for the compliance function from EBA and SREP requirements


     Fulfil due diligence obligations as a Compliance Officer safely – limiting risks from the guarantor position in a targeted manner


    Avoiding legal risks:

    • Risk analysis for an audit-proof legal inventory
    • Supervisory law: requirements for a legal inventory
    • Carrying out the qualitatively more stringent risk analysis on the basis of uniform scoring criteria

    Control Plan Compliance:

    • Overview of monitoring and control activities
    • Audit-proof review of compliance requirements
MaRisk Compliance
MaRisk Compliance