Regulatory Reporting and Expectations

The Module 3 of this certificate course covers handling requests from government, responding to governments, law enforcement agencies and FIU requirements, requirements under International Agreements (including Foreign Account Tax Compliance Act (FATCA)), caution to be taken by dealing with authorities and managing reputation risk.

Updated: April 2021
Level: Beginner-Intermediate
Inclusions: Assessment, Completion Certificate
Duration: 48 minutes
Points: 45

Trainer: Theresa Karunakaran, Independent Consultant – Compliance and Regulatory Affairs
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The Module 1 of this certificate course covers importance of maintaining symbiotic relationship with regulators, impact of non-compliance with regulations, the changing regulatory landscape, ways to build trust with regulators, managing disruptions, risks emanating from technology, processes and products, maintaining regulators’ trust, preparing for and managing regulatory interactions, regulatory assessments and the do’s and don’ts of dealing with regulators.

Updated: March 2021
Level: Beginner-Intermediate
Inclusions: Assessment, Completion Certificate
Duration: 66 minutes
Points: 65

Trainer: Theresa Karunakaran, Independent Consultant – Compliance and Regulatory Affairs
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