Skip to main content
Risk Management + Compliance

Risk Management + Compliance

For board members and managing directors at banks, financial service providers, leasing and factoring companies and
specialists from the areas of treasury and risk controlling


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

  • Proper business organisation and Indicators for an appropriate risk culture

  • Current requirements for Risk management

  • New BAIT: Stricter requirements requirements for Information Risk Management

Save the Dates


  • 9.15 am – 1.00 pm

    Proper business organisation and indicators for
    An appropriate risk culture

    MaRisk AT 3: Requirements of the supervisory standard setters for the

    • Leadership culture (Tone from the Top)
    • Employee responsibilities (Accountability)
    • Open communication and critical dialogue (Effective Communication and Challenge) and
    • Appropriate incentive structures (Incentives)

    Operationalisation of the risk culture: definition of appropriateness, Appropriateness and materiality

    MaBail-In: Risk strategy and structural limits put to the test

    Liability trap ad hoc reporting and audit-proof escalation procedure

    Current requirements for risk management

    MaRisk BTR: Components and perspectives of the risk capacity concept

    • Risk identification in the normative perspective
    • Risk identification in the economic perspective

    MaRisk AT 4.1: Forward-looking capital planning process

    • Consideration beyond the balance sheet date
    • P2R – Pillar 2 Requirement
    • P2G – Pillar 2 Guidance – Own funds target ratio
    • Capital for own funds target ratio can be backed by reserves according to § 340 f HGB.
      can be backed by reserves
    • SREP capital surcharge constitutes hard capital requirement
    • Small Banking Box – Discussion of a three-tiered approach

    Current BaFin guideline: Changes in the practice of risk management

S+P Tool Box

  • S+P Check: These are the “red lines” you must observe
  • S+P Checklist: 105-point check on risk-bearing capacity
  • Organisational manual for the Information Security Guideline (Length approx. 30 pages)

Risk Management + Compliance

  • 2.00 pm – 5.00 pm

    New BAIT: Stricter requirements for information risk management Information Risk Management

    BAIT Tz 8: Actively manage compliance, information security, money laundering prevention and data protection

    • Regulating tasks and accountability
    • Monitoring + control + reporting
    • Manage interfaces in an audit-proof manner
    • Agile communication techniques in the commissioning process

     Modules of an effective IT compliance system:
    Interface management to:

    • Processing directory Art. 30 EU GDPR
    • Data protection impact assessment Art. 35 EU-DSGVO
    • Deletion concept Art. 17 EU-DSGVO and DIN standard 66398

    BAIT 6: Secure handling of self-developed IT applications, access rights, IT acceptance as well as changes in the IT system

    Compliance requirements for control and reporting obligations in the IT sector

Risk Management + Compliance
Risk Management + Compliance