Programm

• 9.15 am – 1.00 pm

  Rights and duties of the supervisory board in financial companies

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  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

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

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  Self-Assessment Supervisory Board and Executive Board

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  Remuneration systems for managing directors and employees

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

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

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  When must the supervisory board actively intervene?

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  Information and control duties of compliance officers:

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

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  Implementation of BAIT / KAIT / VAIT / ZEIT:

  • Information Security Officer and Data Protection Officer

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  Tasks of the new commissions at a glance:

  • Outsourcing officer and single officer

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  Requirements for minimum content and quality of agent reporting

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

• 2.00 pm – 5.00 pm

  Audit-proof organisation of the supervisory board’s work

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

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  Establish a multi-year risk-oriented monitoring plan:

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

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  Ensure the effectiveness of the

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

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  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