PPT-RISK BASED APPROACH OF TRADE COMPLIANCE & CONTROLS

BY SALIM THOBANI MEEZAN BANK LTD Workshop Flow Introduction and Objectives Of the Workshop Process Of Anti Money Laundering Practical Implementation of AMLTrade in Trade Products AML Triggers and Red Flags. Important elements of effective manuals and program include Organization Structure Organizational charts Description and flow charts if appr opri te of com anys defense trade functions Description of any management and c ontrol structures for im ple Internal Controls Over Financial Reporting (ICOFR). Management’s Assertions. Central PA Chapter of the AGA . February 9, 2011 . PUBLIC SECTOR. 2. Contents. Background. Federal Managers’ Financial Integrity Act (FMFIA) of 1982. What is Compliance?. Risk and Compliance Management. What is a Framework?. ISO 27001/27002 Overview. Audit and Remediate. Improve and Automate. What was Compliance?. HIPAA. GLBA. PCI. FISMA. SOX. SB1386. BAR 101 April 21, 2016. Shelby . Burke and Susan Dresser. Everett Community College. Polling Questions. Who in the room is responsible for any part of the Internal Control Risk Assessment performed at your college?. Sri Lanka – August 30, 2016. Risk Based Approach to Compliance. Neelesh Sarda – Compliance Head, YES Bank Ltd. 1. Key Regulators in India. Key Regulators. Reserve Bank of India (RBI) – . Banking Regulator. The Cost of Control – Getting the Balance Right. Giles Triffitt. 1. st. November 2013. The pressures on risk management functions and processes are at an all time high. . Demand from shareholders, customers, politicians and regulators is for greater transparency, accountability and governance in the day to day management (and taking) of risk at all levels in the organisation.. Oct. 2018. . Earleen Moulton. VP Compliance, BridgeForce Financial Group. Goals and objectives. Purpose:. Raise awareness and educate about statutory compliance requirements in an advisor’s practice, and how to manage risk. NCAMSS Meeting – November 3, 2017. JILL Puckett, RN, BSN, MHA . Northern Hospital of Surry County. Manager Compliance and Risk . Objectives. Describe what compliance is and what a Compliance Program helps with. Does Security Compliance Make Any Difference? A Case Study SAIAF Meeting – April 26, 2019 Robert Stiles IT Auditor, Texas Department of Family Protective Services Robert.stiles@dfps.state.tx.us Introduction Compliance and Risk Management Updates NCAMSS Meeting – November 3, 2017 JILL Puckett, RN, BSN, MHA Northern Hospital of Surry County Manager Compliance and Risk Objectives Describe what compliance is and what a Compliance Program helps with OECD – Paris 26 June 2018. Odile Roy de Puyfontaine – Head of Compliance. 1. Offices in 40 countries, conducting business in many more. Subject to multiple regulatory and legal regimes. Diverse and complex compliance risks. Presentation to the CPN. Date: 25 March 2021. What is it like dealing with HMRC?. Client feedback. Uncertain. Uncommercial. Challenging. Time consuming. Exasperating. Worrying. What does HMRC say?. Make things easy. Office of Audit, Risk and Compliance (OARC). August 5, 2019. Learning Objectives. Understand OARC’s responsibilities. Understand the compliance program. Understand the audit process. Understand common audit areas and findings. RBAA). What is Risk?. What are the different auditing approach?. What is Risk Based Approach?. What is the causes and benefits of . RBA. ?. What are the Methodology of . RBA. ?. What is Risk?. In simple terms, risk is the possibility of something...