CERTIFIED COMPLIANCEPROFESSIONAL

Sam focuses on regulatory compliance in financial services and learning development in corporates. Being local to Singapore and having worked in Asia for 10 years, Sam has a deep understanding of cultural drivers and nuances for both regulatory and L&D successes. With an extensive background in corporate training across compliance, anti-money laundering (AML), financial crime and soft skills, Sam helps companies establish their training and development needs by reviewing their existing standards and processes, and offering guidance on areas for further improvement. Sam has trained clients under the Singapore Workforce Development Agency (WDA) Workforce Skills Qualification (WSQ) framework. He has worked on course and content design, development and delivery

under multiple competency standard frameworks, including the Institute of Banking and Finance Standards (formerly FICS). In recent years, Sam has helped establish a number of financial services Compliance Academies.

Sam holds a Diploma in Anti-Money Laundering and regularly speaks and produces content on this topic as well as other related regulatory topics. He is a Certified Compliance & Ethics Professional (International) with the Society of Corporate Compliance & Ethics, holds an Advanced Certificate in Training & Assessment from the Institute of Adult Learning, and is an associate trainer with the Aventis School of Management, as well as a corporate facilitator with PD Training.

Sam Gibbins

Expert Trainer

CORPORATE FINANCE

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This program is designed to provide a holistic overview of compliance. All professionals with responsibility for compliance will benefit by attending, specifically:

» Compliance Officers/Managers and their Deputies » Managers with responsibility for internal

compliance controls » Managers and Executives » Professionals Risk Managers » Legal Advisers and Lawyers » Auditors and Audit Managers » Regulatory Representatives » Accountants » Company Secretaries

WHO SHOULDATTEND?

LEORON Professional Devel-opment Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of con-tinuing professional education on the National Registry of CPE

Sponsors. State boards of accountancy have final au-thority on the acceptance of individual courses for CPE credit.

Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

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5 KEY TAKE AWAYS

1 Taking GRC to the next level; understanding governance, ethics, risk and compliance

2 Understanding the complete regulatory environment

3 Managing regulatory and compliance risk for the benefit of your firm

4How to design and build world class GRC systems and controls, aligned to ISO 19600 (Compliance Systems)

5Protecting your firm from the risk of mon-ey laundering, financial crime, and terror-ist financing

The Internation-al Academy of Business and Fi-nancial Manage-ment™ is one of

the world’s fastest growing professional associations with more than 200,000 members, associates and affiliates in 145 countries. IABFM™ hosts and orga-nizes certification training worldwide and offers ex-clusive board designations to candidates who meet the highest professional standards and assessment criteria.

The IABFM is credited by the American National Standards Institute (ANSI) the International Stan-dards setting authority.

COURSE OBJECTIVES

» Defining optimal outcomes for the business and stakeholders.

» Setting standards and measurable controls » Defining optimal outcomes for the business and

stakeholders » Understanding where specific compliance risks

arise and encouraging stakeholders to actively identify and address them

» Ensure compliance tools are used in the spirit in which they were developed and not as tick and flick exercise

» Creating clear ownership and responsibility for compliance within the business.

» Understanding where compliance, risk and governance interact and clearly communicating this to the business.

» Development and deployment of clear policies and training across the business

» Clear communication about compliance risks – personal, managerial and organizational

» Designating reporting to identify indicators at an early stage or before they crystalize

» Implementing the necessary protocols to ensure that the right people have access to reporting information in a timely manner

» Respond to the changing environment by continuously improving the process.

February 28 - March 03 | Dubai, UAE

www.leoron.com

COURSE OVERVIEWThe Certified Compliance Professional course will provide participants with the relevant skills and knowledge, both in theory and in practice, to undertake the role of a compliance professional. The content covers key area needed to move, both as an individual, and as an organisation, towards a state of sustainable compliance, achieving compliance maturity through enhanced Governance, Risk and Compliance frameworks and principles.Using international benchmarks and standards, we will cover key areas of best practice, aligning these to regulatory requirements and developing key skills used by compliance practitioners.

www.leoron.com 4

DAY ONEGlobal Regulatory Frameworks:

» Overview of the global regulatory environment » Models of Regulatory and Compliance development » The objectives of financial services regulation » International comparisons » The role of the regulators » What do the Regulators expect? » ISO 19600: Compliance Management Systems » The regional regulatory environment » Using regulatory toolkits » Complying with FATCA

DAY FREECompliance Risk Management:

» Understanding a Risk-Management Approach » Risk-Management Approaches and the Risk Based Approach » The need for Internal Controls » Understand how to identify, mitigate and control risks effectively » Approaches to risk assessment » Risk culture » Conduct risk

Ethics, Governance, and Culture: » What is Compliance Culture? » The Values Led Mind-set » Changing and embedding culture » Why does Governance matter? » Key Corporate Governance Principles » Corporate Governance and Financial Crime Preven-tion » Governance, Risk and Compliance; the framework » Policy frameworks and technical development » Policy procedures and obligations

DAY FOURMoney Laundering and Counter Terrorist Fi-nancing:

» Understanding Money laundering » International frameworks, agencies, and regulatory bodies » Financial services vulnerability » The role of the MLRO » Development of the Risk Based Approach » Understanding terrorist financing » Suspicious Transaction/Activity Monitoring, Detec-tion and Reporting » Designing an effective internal reporting system

DAY FIVEWhite Collar and Financial Crime:

» White Collar Crime » Preventing fraud » Bribery and Corruption » Insider Trading » Market Abuse » Sanctions and their role in the global economy » Trade Based Money Laundering » Third Party Risks and Due Diligence

Corporate Maturity: » What is Maturity? » The underlying process » The Maturity Framework » Developing and implementing your Corporate Matu-rity framework and pathways

DAY TWOThe Compliance Function:

» An introduction to compliance » Compliance structure » The role of the board of directors, the supervisors, the internal and external auditors » The Role and Responsibilities of Chief Compliance officer » Key compliance activities » Who are the Stakeholders? » Corporate Governance and Financial Crime Preven-tion » Compliance training » Conflicts of interest » Ongoing compliance with laws and regulations » The company and other stakeholders » Managing the regulators and change in regulations » Creating a Compliance Monitoring Programme

February 28 - March 03 | Dubai, UAE

PROGRAMTIMINGS

Registration will begin at 08.00 on Day One.

The program will commence at 08.30 each day and continue until 16.30.

There will be two refreshment breaks and lunch at appropriate intervals.

IN-HOUSE If interested to run this course in-house please contact Val Jusufi at +971 4 447 5711 or e-mail: val@leoron.com

DISTANCE LEARNING PROG. If interested to run this course with our distance learning program please contact Agron Kurtishi at +971 4 447 5711 or e-mail: agron.kurtishi@leoron.com

“The CCP training “course” was “off course” very valuable and enjoyable”:

this was the feelings among all participants at the end of this course. Really, it helped me to be aware of the most updated international stan-dards of AML, compliance and corporate gover-nance and covered all points which will reflect positively on my professional performance. Many thanks to Leoron for organizing such excellent and valuable training course”

HISHAM AL SUKKARY

Doha Bank - Kuwait

TESTIMONIAL

CORPORATE FINANCE

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Delivery Type Group Live

Pre-requisites None

Level Advanced Training

This Program is worth 35 NASBA CPE credits

February 28 - March 03 | Dubai, UAE

I have read and agreed to the following terms and conditions Signature:

4 EASY WAYS TO REGISTER

+971 4 447 5711

+971 4 447 5710

register@leoron.com

www.leoron.com

COMPANY DETAILS

Company: Address:

Post Code: Country:

Tel: Fax:

DELEGATE DETAILS

1Name: Job Title:

E-mail: Tel: Mob:

2 Name: Job Title:

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3 Name: Job Title:

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TERMS & CONDITIONS

1. Payment Terms100% payment of the full amount upon receipt of the invoice.The Withholding Tax and other transfer related charges should be covered by the payer

2. Cancellation Policyi. All cancellations must be done in writing.ii. Full refund for cancellations will only be paid to a maximum of one week from the invoice date.iii. 50% refund for cancellations will only be paid to a maximum of two weeks from the invoice date.iv. No refund for cancellations done after 2 weeks from the invoice date. Substitute is always welcomed; if not possible a credit will be given which can be used for any of LEORON PDI up to 1 year.

3. Force Majeure: If the event is postponed, canceled or abandoned by reason of war, fire, storm, explo-sion, national emergency, labor dispute, strike, lock-out, civil, disturbance, actual or threatened violence by any terrorist group, or any other cause not within the control of our organization, we shall be under no liability to ‘Company’ for non-performance or delay in performance of obligations under this contract or otherwise in respect of any actions, claims, losses (including consequential losses) costs or expenses whatsoever which may be brought against or suffered or incurred by ‘Company’, as the result of the happening of any such events.

4. Complaint and Refund:For more information regarding administrative policies such as complaint and refund, please contact Val Jusufi, Managing Director at: Tel: +971 4 447 5711, Fax:+971 4 447 5710, e-mail: val@leoron.com

5. Governing Law:This contract shall be governed by and construed in accordance with the Laws and Regulations of DMCCA.

SAVINGS & DISCOUNTS

BOOK EARLY

SAVEUS$ 400

EARLY BIRD DISCOUNTS

Register 2 months before US$ 3790

Register 1 month before US$ 3990

Final Price US$ 4190

GROUP DISCOUNTS

3-4 Delegates 20%

5 Delegates 25%

*please note that all group discount are given on the final price

PAY BY CREDIT CARD

PAY BY INVOICE

COURSE DETAILS

Date: February 28 - March 03 Location: Dubai, UAE

CERTIFIED COMPLIANCE PROFESSIONALregistration form