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Hello

Welcome to the 'Introduction to Regulatory Compliance' Course.

Some Important Questions Before Discussing Course Topics;

• Are you a Company/Business Owner, a Compliance Professional, OR are you looking for a Career in the Regulatory Compliance domain, and you want to learn Regulatory Compliance?

• Do you know or want to know how important is 'Regulatory Compliance' for companies, organizations, institutions and businesses?

• Do you want to gain knowledge of key or important Laws, Regulations, and Standards that are implemented in different jurisdictions/countries?

• Do you know or want to know how Compliance Professionals work, and What are the expectations of management/board from them?

• Do you know or want to know how the Board of Directors, Management, Employees, and Compliance Teams work together, to ensure Regulatory Compliance and manage Compliance Risks?

• Do you know how 'Risks and Controls Matrix' is practically developed by Regulatory Compliance Professionals?

  
  

This course is designed in such as way that you will not only gain fundamental knowledge of Compliance and Its dimensions but also gain deeper knowledge of various Regulations and Standards applicable in different jurisdictions/countries. You will be able to know the answers to the above questions, after attempting this course.

COURSE TOPICS

In this course, you will learn the following topics;

1. Understanding Compliance, and Compliance Efforts,

2. Different 'Regulators' Operating in the World,

3. Concept of Regulated Entities,

4. Different Regulated Sectors,

5. Regulatory Compliance, Compliance Culture, Types of Compliance Culture, Compliance Risks, 

6. Common Regulatory Compliance Risks Faced by Institutions

7. Regulatory Risks and Outcomes,

8. Regulatory Compliance Governance Structure, and Three Lines of Defense Model,

9. Regulatory Technology (Red-Tech), Its Uses, and Examples.

10. Compliance Management Committee and Its Roles

11. Roles of Compliance Function,

12. Roles of Internal Audit in Regulatory Compliance,

13. Famous Laws, Acts, Standards, and Regulations applicable in various jurisdictions like the United States, Europe, Canada, Australia, China, Singapore, Philippines. etc;

  13.1. United States and Europe's Anti-Money Laundering AML Laws and Regulations;

- AML, KYC,

- BSA AML,

- Europe EU AMLD,

13.2 Crypto Regulations and Frameworks

  - Overview of Europe EU's Markets in Cryptoassets MiCA,

  - Overview of the United States Crypto Regulatory Environment 

  -Overview of Asian Countries Crypto Regulatory Environment

   13.3. Artificial Intelligence AI Laws and Regulations

- Artificial Intelligence (AI) Regulatory Requirements,

   13.4. Data Protection and Privacy Laws, Acts and Regulations

- The United States California Consumer Privacy Act (CCPA),

- China's Personal Information Protection Law (PIPL),

- Canada's Personal Information Protection and Electronic Document Act (PIPEDA),

- Australia's The Privacy Act,

- Singapore's Personal Data Protection Act (PDPA),

- Philippines Data Privacy Act (DPA).

The above laws, Regulations, Standards, and Frameworks are applicable to different organizations operating in different sectors like Financial Institutions, Manufacturing, Services, Health, E-Commerce, and Safety Sectors, etc

14.  Key Compliance Areas that Compliance Professionals must know, such as;

- Cybersecurity Compliance,

- Data Protection Compliance,

 - Levels of Risks and, Transparency for Artificial Intelligence AI Service Providers such as ChatGPT, in Europe,

- Anti Financial Crime Compliance, including AML Compliance

- Health and Safety Compliance,

- ESG Compliance,

- Consumer Privacy Compliance,

- Artificial Intelligence AI Compliance, and

- Labor Law Compliance.

15. Bonus Lecture - Interview Questions and Answers for the Job of Compliance Officer / Compliance Manager

16. Bonus Lecture - Job Description of Regulatory Compliance Officer

17. Case Studies to understand the application of Regulatory Requirements

18. Multiple Choice Questions MCQs

19. Assignment

- Attempting the assignment will help you practically know, 'how a 'Compliance Risks and Mitigation Controls Matrix' is developed in institutions/organizations.

BENEFITS OF THIS COURSE;

- QUIZ is also part of this course to test your knowledge about regulatory compliance.

- Downloadable Study Material files are also added, for you.

- Lifetime access to the course

- Certificate of completion of the course for your jobs and CVs enhancement

- Additions/updations to this course in the future, will be free

WHO SHOULD ATTEND THIS COURSE;

• Entrepreneurs, Business Owners, and Leadership or Company Executives

• Compliance professionals, Compliance Officers, Money Laundering Reporting Officers MLROs, AML Analyst,

• Compliance consultants

• Risk management professionals, consultants and students

• Data Protection, Privacy, and Cybersecurity Professionals and Officers

• Business and Operation Heads and Officers

• Internal audit professionals and students

• Internal controls professionals

• Professionals working in Compliance Functions of Institutions/Organizations operating in jurisdictions such as the US, Europe, Australia, and Asian countries

• Cryptocurrency Business Owners and Professionals working in these Companies

• ACCA, CPA, CAMS, CGA, MBA students

• Any other person who wants to learn and understand Regulatory Compliance