Compliance Workshops to Review & Update Procedure Manual



Date: 20th Apr 2017

Event Details


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
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