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Description
Introduction
Compliance - Fundamentals is an essential training unit lasting several days, focusing on the core principles of Compliance and its diverse applications. Participants gain a thorough understanding of compliance responsibilities, specific areas, and legal dispositions pertaining to cooperation with authorities. The program encompasses key topics such as AML/CTF, MiFID, Market Abuse, Customer Complaints, Data Protection, and more. The course also covers the Code of Conduct and the Compliance Function. The exam, lasting 1 hour, concludes the comprehensive learning experience. Sessions are organized in 2, 4, or 8-hour blocks, allowing flexibility for participants to plan their attendance.
This training is in blended-learning, meaning that you will receive an access, 5 days prior to the course, to a preparatory e-learning course.
Important Information
This course might be scheduled over several days. Please check the planning for details.
Please note that the exam lasts 1 hour.
Objectives
At the end of this training unit, the participants will have a good understanding of the fundamentals of Compliance and the specific areas in which Compliance is applicable. They will become acquainted with the code of conduct as well as with the legal and practical dispositions regulating the cooperation with the authorities.
Programme
The programme of the fundamental module is composed of 4 general topics, each one being dealt with in +/- 2-hour units
- Unit 1 and 2 - Fundamentals of Compliance
- Objectives
- Definition of Compliance and responsibilities
- Specific Compliance areas
- Some key areas
- AML / CTF
- MiFID
- Market Abuse (Insider Dealing & Market Manipulation)
- Customer Complaints
- Data Protection
- Professional Secrecy
- Fraud
- Whistleblowing
- Code of Conduct
- Remuneration Policy
- Conflict of Interests
- Cooperation with the authorities
- FATCA...
- Unit 3 - Elements on the Code of Conduct
- Unit 4 - The Compliance Function
Dates
Kindly note that the « Compliance » modules have a duration of 8 hours and are organized either during the day or in the evenings. Please be aware that courses are set up in sessions of 2, 4 or 8 hours. Please make sure to download the exact planning by clicking on “Sessions et horaires”.
Target audience
This training is intended for a varied target audience, i.e. anyone wishing to acquire basic knowledge in Compliance.
Conditions
Course Material
Please note that for environmental reasons no paper version of the training material will be provided for your training. The course material can be downloaded free of charge via your portal before the start of the course (download the Client Portal User’s Guide here). You will be able to view it on the screen of your mobile device or print it if necessary. If your registration has been made by a training manager of your company please contact him/her so that he/she can give you access to it or send it to you.
Location
L-1615 Luxembourg
Luxembourg
Sessions and schedules
-
Mon 06.01.2025
17:30 to 19:30
2H
Compliance - Fundamentals
Chambre de Commerce Luxembourg
-
Wed 08.01.2025
17:30 to 19:30
2H
Compliance - Fundamentals
Chambre de Commerce Luxembourg
-
Mon 13.01.2025
17:30 to 19:30
2H
Compliance - Fundamentals
Chambre de Commerce Luxembourg
-
Wed 15.01.2025
17:30 to 19:30
2H
Compliance - Fundamentals
Chambre de Commerce Luxembourg
-
2H
The fundamentals of compliance
E-learning
-
Tue 22.04.2025
17:30 to 19:30
2H
Compliance - Fundamentals
Chambre de Commerce Luxembourg
-
Wed 23.04.2025
17:30 to 19:30
2H
Compliance - Fundamentals
Chambre de Commerce Luxembourg
-
Mon 28.04.2025
17:30 to 19:30
2H
Compliance - Fundamentals
Chambre de Commerce Luxembourg
-
Tue 29.04.2025
17:30 to 19:30
2H
Compliance - Fundamentals
Chambre de Commerce Luxembourg
-
2H
The fundamentals of compliance
E-learning
-
Tue 03.06.2025
17:30 to 19:30
2H
Compliance - Fundamentals
Chambre de Commerce Luxembourg
-
Thu 05.06.2025
17:30 to 19:30
2H
Compliance - Fundamentals
Chambre de Commerce Luxembourg
-
Tue 10.06.2025
17:30 to 19:30
2H
Compliance - Fundamentals
Chambre de Commerce Luxembourg
-
Thu 12.06.2025
17:30 to 19:30
2H
Compliance - Fundamentals
Chambre de Commerce Luxembourg
-
2H
The fundamentals of compliance
E-learning
Duration 1H
Location Chambre de Commerce Luxembourg
- Tue 07.01.2025 08:45 to 11:45
- Tue 14.01.2025 08:45 to 11:45
- Tue 21.01.2025 08:45 to 11:45
- Tue 28.01.2025 08:45 to 11:45
- Thu 30.01.2025 08:45 to 11:45
- Tue 04.02.2025 08:45 to 11:45
- Tue 11.02.2025 08:45 to 11:45
- Tue 25.02.2025 08:45 to 11:45
- Thu 27.02.2025 08:45 to 11:45
- Tue 04.03.2025 08:45 to 11:45
- Tue 11.03.2025 08:45 to 11:45
- Tue 18.03.2025 08:45 to 11:45
- Tue 25.03.2025 08:45 to 11:45
- Thu 27.03.2025 08:45 to 11:45
- Tue 01.04.2025 08:45 to 11:45
- Tue 22.04.2025 08:45 to 11:45
- Fri 25.04.2025 08:45 to 11:45
- Tue 29.04.2025 08:45 to 11:45
- Tue 06.05.2025 08:45 to 11:45
- Tue 13.05.2025 08:45 to 11:45
- Tue 20.05.2025 08:45 to 11:45
- Thu 22.05.2025 08:45 to 11:45
- Tue 27.05.2025 08:45 to 11:45
- Tue 03.06.2025 08:45 to 11:45
- Tue 10.06.2025 08:45 to 11:45
- Tue 17.06.2025 08:45 to 11:45
- Tue 24.06.2025 08:45 to 11:45
- Thu 26.06.2025 08:45 to 11:45
- Tue 01.07.2025 08:45 to 11:45
- Tue 08.07.2025 08:45 to 11:45
- Thu 10.07.2025 08:45 to 11:45
- Tue 15.07.2025 08:45 to 11:45
- Tue 16.09.2025 08:45 to 11:45
- Tue 23.09.2025 08:45 to 11:45
- Thu 25.09.2025 08:45 to 11:45
- Tue 30.09.2025 08:45 to 11:45
- Tue 07.10.2025 08:45 to 11:45
- Tue 14.10.2025 08:45 to 11:45
- Tue 21.10.2025 08:45 to 11:45
- Tue 28.10.2025 08:45 to 11:45
- Thu 30.10.2025 08:45 to 11:45
- Tue 11.11.2025 08:45 to 11:45
- Tue 25.11.2025 08:45 to 11:45
- Thu 27.11.2025 08:45 to 11:45
- Tue 02.12.2025 08:45 to 11:45
- Thu 04.12.2025 08:45 to 11:45
- Tue 09.12.2025 08:45 to 11:45
- Thu 11.12.2025 08:45 to 11:45
- Tue 16.12.2025 08:45 to 11:45
- Thu 18.12.2025 08:45 to 11:45
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