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Supervisery Board Financial Companys

Supervisory Board Financial Company

For supervisory boards, managing directors and board members of financial companies, authorised signatories, compliance officers and internal auditors


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

  • Rights and duties of the Supervisory Board of a financial company

  • Interface with the commissioner system: New tasks and risks for the the Supervisory Board

  • Audit-proof organisation of the Supervisory Board work


  • 9.15 am – 1.00 pm

    Rights and duties of the supervisory board in financial companies

    Know the most important tasks from the KWG

    • Discussion of the business and risk strategy
    • Compliance with banking supervisory regulations
    • Minimum requirements for risk management
    • The most important regulatory ratios

    Liability trap: material risks and risk decisions that deviate from them

    Self-Assessment Supervisory Board and Executive Board

    Remuneration systems for managing directors and employees

    Interface between the commissioner system: New tasks and risks for the supervisory board

    Model of the three lines of defence: Overview of the commissions

    When must the supervisory board actively intervene?

    Information and control duties of compliance officers:

    • MaRisk compliance and WpHG compliance
    • Money Laundering Officer and Fraud Officer
    • Internal Audit and Audit Officer

    Implementation of BAIT / KAIT / VAIT / ZEIT:

    • Information Security Officer and Data Protection Officer

    Tasks of the new commissions at a glance:

    • Outsourcing officer and single officer

    Requirements for minimum content and quality of agent reporting

    Liability trap: Ad hoc reporting: safe behaviour in the escalation process

S+P Tool Box

  • S+P Tool: Supervisory board panel for monitoring of reporting Duties
  • S+P Check: Sample Rules of Procedure for the Supervisory Board
  • S+P Check: Proper business organisation business organisation

Supervisery Board Financial Companys

  • 2.00 pm – 5.00 pm

    Audit-proof organisation of the supervisory board’s work

    Articles of association and supervisory board regulations: Which control obligations must be observed?

    Establish a multi-year risk-oriented monitoring plan:

    • Information and control obligations from MaRisk
    • Duties from the MiFID Organisational Regulation and the MaComp

    Ensure the effectiveness of the

    • Risk Management System
    • Money Laundering Prevention System
    • Internal control system
    • Internal audit system

    Minimum requirements for risk management:

    • What duties of care must the managing director and the supervisory board
      have to fulfil?
    • Essential innovations of MaRisk and the EBA guidelines
    • New tasks for the MaRisk functions
Supervisery Board Financial Companys
Supervisery Board Financial Companys