Introduction To Compliance
AY2020/2021 Semester 1
This course aims to provide you with a broad understanding of the role of compliance in financial institutions and introduce you to the common issues in the space of regulatory and financial compliance. Course topics include understanding the financial services sector, the role of compliance within financial institutions, the financial regulatory environment and requirements, compliance risks, anti-money laundering risks, and the importance of well-designed and effective control mechanisms. The course will also explore the impact of financial technology (FINTech) and regulatory technology (REGTech) advancements on the compliance landscape. This course is accredited by the Institute of Banking and Finance (IBF) and students who obtain an overall score of B and above will be accredited for IBF?s Level 1 Compliance Standards.
| AUs | 4.0 AUs |
| Categories | CoreBDE |
| Not Available To Programme | ACBS(GA)-2ndMaj/Spec(ITT) 4, ACBS(GB)-2ndMaj/Spec(ITT) 2, ACBS-2ndMaj/Spec(ITT) 3, ACBS-2ndMaj/Spec(PBL) 4, BUS(ITT) 3 |
| Exam |
Available indexes
| Mon | Tue | Wed | Thu | Fri | Sat | |
|---|---|---|---|---|---|---|
| 830 | 00230 SEM (1) 0830-1230 Fri S4-SR24 | |||||
| 900 | 00231 SEM (2) 0900-1300 Sat S4-SR13 | |||||
| 930 | ||||||
| 1000 | ||||||
| 1030 | ||||||
| 1100 | ||||||
| 1130 | ||||||
| 1200 | ||||||
| 1230 |