Compliance Workshops to Review & Update Procedure ManualBACK TO ALL EVENTS
REVIEW AND UPDATE PROCEDURE MANUAL
CPD: Accredited 4 hours III & LIA IOB to be confirmed
Cost: €150 (minimum attendance of 6 people)
Stop Press....New Compliance Workshop Date Added-Tuesday 10th October 2017.
|Location||Date & Time||Venue|
|Dublin||April 20th 9-1pm||Allianz Training Room, IBA Merrion Sq, Dublin 2|
|Cork||April 25th 10-2pm||Clayton Hotel, Lapps Quay, Cork City|
|Galway||May 16th 10-2pm||Clayton Galway Hotel, Ballybrit, Galway|
|Dublin||May 24th 10-2pm||Allianz Training Room, IBA, 87 Merrion Sq, Dublin 2|
NEW COMPLIANCE WORKSHOP - DUBLIN DATE....
|Dublin||October 10th 9-1pm||Allianz Training Room, IBA, 87 Merrion Sq, Dublin 2|
The purpose of this Compliance Workshop is to review and update procedure manuals in line with Central Bank requirements. The IBA Procedure Manual Templates are used as the basic framework for the course content. In addition there will be reference to Intermediary Times, Consumer Protection Outlook Report, Consumer and Conduct Risk Assessment in the business.
The workshop provides an opportunity to make alterations and improvements to your manuals and develop greater understanding of the provisions of the Consumer Protection Code, Minimum Competency Code and the Fitness & Probity Standards. In addition the Guide to Consumer Protection Risk Assessment
At the end of the workshop you should be in a position to
- Ensure the content of the Procedure Manual reflects the culture of the firm
- Review & renew each chapter of the manual with reference to CODES and recent Central Bank Publications
- Roll out a fully customised and updated manual to all staff.
- Carry out routine monitoring and review to ensure manual remains a relevant resource consistent with procedures that are applied in the daily operation of the business
See below for course outline. Reference to Consumer Protection Framework recently mentioned publications from the Central Bank of Ireland is made throughout the workshop.
|Code of Conduct||Mid Term Alterations Procedures||Renewal Procedures|
|Advisory Services||Premium Rebate Procedures||New Business Procedures|
|Commission Fees & Charges||Payment Options and Procedures||Client Premium Account|
|Errors & Complaints||Premium Handling Procedures||Claims Procedures|
|Data Protection||Files and Records||Complaints Procedures|
|Recruiting Procedures||Research Procedures||AML & CFT EU Sanctions|
|Compliance Checks||Authorisations||Managing Conflicts of Interest|
|Fitness & Probity||Advertising Procedures||Registers|
|Terms of Business||Suitability||Conduct & Consumer Risk|
ADDITIONAL WORKSHOP – due to high demand an additional workshop will take place July 11th in the IBA Offices from 9-1pm.
Register today with firstname.lastname@example.org