Do you know:
Why companies, organizations, businesses, and institutions are being penalized by regulators?
How important Regulatory Compliance is for companies, organizations, and institutions?
How do the Board of Directors, Management, Employees, and Compliance Team work together, to ensure Regulatory Compliance?
There are various laws, regulations, standards, directives, etc. that are issued by regulators, for companies, businesses, and organizations, operating in different sectors and jurisdictions. Non-compliance results in significant penalties.
Read more
Do you know:
Why companies, organizations, businesses, and institutions are being penalized by regulators?
How important Regulatory Compliance is for companies, organizations, and institutions?
How do the Board of Directors, Management, Employees, and Compliance Team work together, to ensure Regulatory Compliance?
There are various laws, regulations, standards, directives, etc. that are issued by regulators, for companies, businesses, and organizations, operating in different sectors and jurisdictions. Non-compliance results in significant penalties.
Do you know:
Why companies, organizations, businesses, and institutions are being penalized by regulators?
How important Regulatory Compliance is for companies, organizations, and institutions?
How do the Board of Directors, Management, Employees, and Compliance Team work together, to ensure Regulatory Compliance?
There are various laws, regulations, standards, directives, etc. that are issued by regulators, for companies, businesses, and organizations, operating in different sectors and jurisdictions. Non-compliance results in significant penalties.
What Will You Learn In This Course?
In this course, you will learn, how the regulators are focusing on a strong compliance culture to be implemented by companies, businesses, organizations, and institutions to avoid fines & penalties due to regulatory non-compliance.
You will learn different key concepts related to Compliance, Compliance Efforts, Regulators, Regulated Entities, Regulatory Compliance, Compliance Culture, Types of Compliance Culture, Governance Structure, Three Lines of Defense Model of Regulatory Compliance, Compliance Function, Different Regulated Sectors, Famous Laws, Acts and Regulations in the World, etc. We will also discuss some case studies and examples.
You will also learn about the overview of different key Acts, Standards, Laws, and Regulations, which are applicable to different kinds of organizations, such as Financial Institutions, and other Organizations working in different sectors including Manufacturing, Service, Health, and Safety Sectors, etc.
You will learn about Regulatory Technology (Red-Tech), Its uses, and examples.
You will learn the overview of the regulatory requirements prescribed by important AML and KYC Regulations that are applicable in the United States and Europe (BSA and EU AMLD4) for financial institutions such as Digital banks, Cryptocurrency Exchanges, and Financial Technology (Fin Techs) institutions.
You will learn the overview of Artificial Intelligence (AI) Regulatory Requirements, Levels of Risks and Transparency Requirements to be complied with by the Generative AI (such as Chapt Gpt) Service Providers in the Europe EU. We will discuss the Unacceptable, HIgh Risk, and Limited Risks associated with the use of AI.
You will learn the overview of some famous Data Protection Laws and Acts of different countries including the United States, Canada, China, Singapore, Philippines, and Australia.
- Data protection Acts and Laws include 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)
Bonus Lecture - Interview Questions and Answers for the Job of Compliance Officer / Compliance Manager
Bonus Lecture - Job Description of Regulatory Compliance Officer
Other Benefits of attending 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 is this course for:
Compliance professionals and students
Risk management professionals and students
Internal audit professionals and students
Internal controls professionals
ACCA, CPA, CAMS, CGA students
Any other person who wants to learn and understand Regulatory Compliance
Here's a deal for you
UDEAFNULP2024
What's inside
Learning objectives
- You will learn about the compliance, regulatory compliance and compliance efforts
- You will learn about different laws and regulations which are applicable in different countries
- Artificial intelligence regulatory and transparency requirements and levels of risks assigned to ai systems
- You will learn about the core steps to be undertaken to ensure "regulatory compliance"
- You will learn about the internal controls that support organizations to ensure compliance and achievement of overall objectives
- You will learn about reg-tech, governance structure, compliance committee, three lines of defense model, roles of compliance function and internal audit
- Overview of data protections laws and acts of different countries including united states, canada, china, singapore, australia, philippines
- Case study is discussed, and quiz test is also added as part of this course to test your knowledge of regulatory compliance
- Downloadable study material
- Interview questions and answers for the position of compliance officer / compliance manager
- Job description of regulatory compliance officer
- Show more
- Show less
- You will learn about the compliance, regulatory compliance and compliance efforts
- You will learn about different laws and regulations which are applicable in different countries
- Artificial intelligence regulatory and transparency requirements and levels of risks assigned to ai systems
- You will learn about the core steps to be undertaken to ensure "regulatory compliance"
- You will learn about the internal controls that support organizations to ensure compliance and achievement of overall objectives
- You will learn about reg-tech, governance structure, compliance committee, three lines of defense model, roles of compliance function and internal audit
- Overview of data protections laws and acts of different countries including united states, canada, china, singapore, australia, philippines
- Case study is discussed, and quiz test is also added as part of this course to test your knowledge of regulatory compliance
- Downloadable study material
- Interview questions and answers for the position of compliance officer / compliance manager
- Job description of regulatory compliance officer
- Show more
- Show less
Syllabus
Introduction
Course Contents and Topics
Importance of Regulatory Compliance Course
Course Instructor Introduction
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Syllabus
In this lecture, you will learn about the Regulators in different countries and the entities or companies that are supervised by these regulators.
Overview of 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)
In this lesson, you will learn about some very common risks that are faced by all types of organizations and companies. These are broader categories of risks, and there may be sub-risks or branches to these broader risks.
In this lecture, you will learn about some common compliance risks or possible breaches that financial institutions such as banks face and non-compliance in these areas lead to the imposition of significant fines by regulators. Further, institutions also face financial and reputational losses due to non-compliances in these compliance risk areas. So let's start.
In this lecture, you will learn about Regulatory Risks or Compliance Risks and the outcomes of these risks if they occur in a company or organization.
In this lecture, you will learn about some of the most important AML regulations that are applicable in the United States and Europe for Financial Institutions. We will focus on the US and EU AML requirements for the Digital banks and FinTechs in this lecture.
You will learn the overview of Artificial Intelligence (AI) regulatory requirements prescribed by EU authorities. In this lecture, we will discuss different levels of Risk Categorization for AI Systems and the transparency requirements to be complied with by Generative AI service providers.
In a company or organization, the Governance structure is very important for any company or organization because Governance sets the overall tone and the corporate stretagy. In a company, Governance means the Board of Directors of the company, who set the compliance culture and provide oversight to the Management and employees, on regular basis.
TLOD model is crucial for an organization and institution, to ensure regulatory compliance. Let's discuss this very important model.
The Compliance Function or Compliance Department is established in a company or organization, to ensure that applicable laws and regulations are identified and complied with, by all the employees of the company. The compliance department is headed by the Chief Compliance Officer of the company. You will learn about the Compliance Function and its roles and responsibilities in this lecture.
Knowledge Test Quiz - Regulatory Compliance
You will learn about the potential Interview Questions that are asked by Employer, with model Answers, for the position of Compliance Officer or Compliance Manager.
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Activities
Review Basic Concepts
Show steps
Understanding the basics will help you to participate better in discussions and follow the course material more easily.
Show steps
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Revisit the chapter on Regulatory Compliance from your previous course or textbook.
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Review the terms and definitions associated with Regulatory Compliance.
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Read articles or blog posts about recent regulatory changes.
Watch Tutorials on Regulatory Compliance
Show steps
Watching tutorials will help you to learn about Regulatory Compliance in a more interactive and engaging way.
Show steps
-
Search for tutorials on Regulatory Compliance on YouTube or other online platforms.
-
Watch the tutorials and take notes.
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Complete the practice questions or exercises that are included with the tutorials.
Join a Study Group for Regulatory Compliance
Show steps
Joining a study group will allow you to discuss Regulatory Compliance with other students and learn from their perspectives.
Show steps
-
Find or create a study group for Regulatory Compliance.
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Meet with the study group regularly to discuss the course material, work on assignments, and prepare for exams.
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Participate in group discussions and ask questions.
Three other activities
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Show all six activities
Complete the Quiz on Regulatory Compliance
Show steps
Taking this quiz will help you to assess your current knowledge of Regulatory Compliance and identify areas where you need to improve.
Show steps
-
Access the quiz through the course platform.
-
Answer the questions to the best of your ability.
-
Review your results and identify areas where you need to improve.
Create a Study Guide
Show steps
Creating a study guide will help you to organize the course material and identify the key concepts that you need to know.
Show steps
-
Review the course syllabus and identify the key topics.
-
Gather your notes, handouts, and other course materials.
-
Organize the materials into a logical order.
-
Create a summary of each key topic.
-
Test yourself on the key topics using practice questions or flashcards.
Volunteer with a Regulatory Compliance Organization
Show steps
Volunteering with a Regulatory Compliance organization will give you hands-on experience and allow you to network with professionals in the field.
Show steps
-
Research different Regulatory Compliance organizations.
-
Contact the organizations and inquire about volunteering opportunities.
-
Attend volunteer training and orientation.
-
Participate in volunteer activities such as assisting with events, conducting research, or providing support to clients.
Review Basic Concepts
Show steps
Understanding the basics will help you to participate better in discussions and follow the course material more easily.
Show steps
- Revisit the chapter on Regulatory Compliance from your previous course or textbook.
- Review the terms and definitions associated with Regulatory Compliance.
- Read articles or blog posts about recent regulatory changes.
Watch Tutorials on Regulatory Compliance
Show steps
Watching tutorials will help you to learn about Regulatory Compliance in a more interactive and engaging way.
Show steps
- Search for tutorials on Regulatory Compliance on YouTube or other online platforms.
- Watch the tutorials and take notes.
- Complete the practice questions or exercises that are included with the tutorials.
Join a Study Group for Regulatory Compliance
Show steps
Joining a study group will allow you to discuss Regulatory Compliance with other students and learn from their perspectives.
Show steps
- Find or create a study group for Regulatory Compliance.
- Meet with the study group regularly to discuss the course material, work on assignments, and prepare for exams.
- Participate in group discussions and ask questions.
Complete the Quiz on Regulatory Compliance
Show steps
Taking this quiz will help you to assess your current knowledge of Regulatory Compliance and identify areas where you need to improve.
Show steps
- Access the quiz through the course platform.
- Answer the questions to the best of your ability.
- Review your results and identify areas where you need to improve.
Create a Study Guide
Show steps
Creating a study guide will help you to organize the course material and identify the key concepts that you need to know.
Show steps
- Review the course syllabus and identify the key topics.
- Gather your notes, handouts, and other course materials.
- Organize the materials into a logical order.
- Create a summary of each key topic.
- Test yourself on the key topics using practice questions or flashcards.
Volunteer with a Regulatory Compliance Organization
Show steps
Volunteering with a Regulatory Compliance organization will give you hands-on experience and allow you to network with professionals in the field.
Show steps
- Research different Regulatory Compliance organizations.
- Contact the organizations and inquire about volunteering opportunities.
- Attend volunteer training and orientation.
- Participate in volunteer activities such as assisting with events, conducting research, or providing support to clients.
Career center
Compliance Officer
Regulatory Compliance Manager
Compliance Analyst
Internal Auditor
Risk Manager
Information Security Analyst
Consultant
Business Analyst
Data Analyst
Financial Analyst
Accountant
Lawyer
Project Manager
Operations Manager
Software Engineer
Reading list
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