Supervisory Board Financial Company
For supervisory boards, managing directors and board members of financial companies, authorised signatories, compliance officers and internal auditors
805,-€
Programm
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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
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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
