Dear member,
Welcome to the November edition of Compliance Institute's newsletter.
As always, be sure to connect with us on LinkedIn, Twitter and Instagram to stay up to date with our news, events and latest developments as well as keeping an eye on our website, compliance.ie.
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Compliance Institute Annual Conference 2023
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A reminder that the Institute’s annual conference is scheduled to take place on Tuesday 14th November 2023. The theme of this years Conference is ‘Empowering Accountability’ and it is an excellent opportunity to network with peers and listen to a great lineup of speakers. The conference will be a hybrid event with the ‘in-person’ venue being the Aviva Stadium, Dublin. As well as the usual catering throughout the day, the conference will conclude with a complimentary drinks reception to allow for a further networking opportunity.
We have a fantastic lineup of Keynote Speakers including: Minister Paschal Donohoe - Minister for Public Expenditure, National Development Plan Delivery and Reform and President of the Eurogroup, Sharon Donnery, Deputy Governor, Financial Regulation, Central Bank of Ireland, Neil Donnelly, Group Chief Compliance Officer, AIB, Tony Cahalan, Head of Anti-Money Laundering Transformation
Central Bank of Ireland, Seána Cunningham, Director of Enforcement and AML, Central Bank of Ireland and Cathal Ryan, Deputy Commissioner, Data Protection Commission Ireland.
We will be discussing topics ranging from IAF, Ethics, Fintech, AI, Sustainable Finance, Financial Crime Compliance, Data Protection and Diversity and Inclusion.
Registration will close on Wednesday 8th November 2023!
Annual Conference 2023
Date: Tuesday 14th November 2023
Format: Hybrid with the in-person venue - The President's Suite, Aviva Stadium, Lansdowne Rd, Dublin 4
Time: 09:00 - 16:15 followed by a complimentary drinks reception
CPD: TBC
Fee: €155 for members online, €175 for members in-person, €195 for non-members
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Compliance Institute - News and Updates
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Compliance Institute - Short Course Launch
Compliance Institute was delighted to launch our first Certified short course in Sustainability Regulatory Reporting.
The course commenced on the 25th October 2023 and it will be running over four weeks.
We will be launching our second short course - Certified Digital Services Act this Friday 3rd November and it will be running over six weeks.
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Summary Article - European Supervisory Authorities 2024 Work Programme
The Joint Committee of the European Supervisory Authorities, known as the ESAs (European Banking Authority, European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority) have published their work programme for 2024. This work programme outlines their areas of focus and their planned deliverables for 2024 and by working closely together on this programme the Joint Committee seeks to foster regulatory consistency across their sectors and ensure supervisory convergence. Please find enclosed below a link to a summary article.
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The ESAs 2024 Work Programme can be read in full here:
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Open Consultation Papers
Please see a link below to a table detailing fifteen current noteworthy Open Consultation Papers.
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Compliance Institute Safeguarding Survey 2023
We would appreciate you taking a few moments to complete the short survey below in relation to your experience with the Safeguarding audit process. This survey should take approximately 2 minutes to complete.
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ENFCO - ESG & Compliance Survey
The European Network For Compliance Officers (ENFCO) has issued a survey in order to gain insights as to how ESG is perceived by Compliance functions and treated in organisations across Europe.
This is an excellent opportunity for Compliance Professionals in Ireland to have your feedback included as part of the overall survey results.
We would greatly appreciate you taking the time to complete the survey enclosed below which should take approx. 5 minutes to complete.
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Compliance Professionals: The Ethical Risks in using Generative AI in Regulatory Compliance Article
Dermot Kennedy, Head of Operations, Compliance Institute wrote an article on Compliance Professionals: The Ethical Risks in using Generative AI in Regulatory Compliance for the Valid8Me Weblog.
To read the article in full, please click here:
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fscom IAF Report 2023
fscom Ireland: Individual Accountability Framework – Applicability to regulated firms. This article draws on a variety of jurisdictions that have implemented a similar regime, to provide insight into what the Irish financial services industry can expect, but also to provide guidance on how best to prepare for the IAF regime.
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Membership Renewal 2023/24
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As previously advised for any members that have not renewed their membership, access to your account has now been suspended and the online payment option and renewal invoice have now been removed from your accounts.
However, payment can still be taken over the phone or by bank transfer.
If you have any questions or require any assistance, please email [email protected] or telephone (01) 7790200.
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Compliance Institute Education - Register Now:
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EU Digital Services Act 6 Week Short Course
Compliance Institute's EU Digital Services Act education short course is a comprehensive program designed to educate individuals and organisations on the key aspects and requirements of the European Union's Digital Services Act (DSA).
Registration for this short course is now open and it will commence on Friday 3rd November 2023.
For further information please click on the link below:
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Professional Certificate & Diploma in Compliance, a level 7 qualification on the NFQ, is offered by Compliance Institute’s education partner, IOB, a recognised college of UCD, commenced on the 2nd October 2023 with the closing date being the 10th November 2023.
For more information regarding the course and registration details, please click on the link below:
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Ethics Webinar Series - Online/Free
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Ethical Leadership
Date: 8th November Time: 13:00 - 14:00
CPD: TBC
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How to improve ethical behaviour in financial services companies
Date: 15th November Time: 13:00 - 14:00
CPD: TBC
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How to perform an Ethics Review
Date: 27th November Time: 13:00 - 1:00
CPD: 1 hour of Ethics for all designations
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Cyber Security - Market Insights and Emerging Threats
Date: 29th November
Online
Time: 13:00 - 14:00
CPD: TBC
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Celebrating international day of disabled persons
Date: 5th December
Online
Free
Time: 13:00 - 14:00
CPD: 1 hour LCI, FCI (Ethics), CECA, CFRCP, Professional Banker, Chartered Banker
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The Compliance Files Podcast Series
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‘The Compliance Files’ series now has 1,680 minutes of content and has been downloaded over 19,400 times and listened to in 91 countries.
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We've released one episode of The Compliance File Podcasts series on the topic of DORA.
In this episode, Chris Martin, Of Counsel, Financial Regulation and Compliance, A&L Goodbody and Chair of Compliance Institute’s Central Steering Committee gives us an understanding about the regulatory framework around operational and IT resilience.
To listen to the podcast in full, please click on the link enclosed below.
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Offerings open to Institute members:
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Individual Accountability Framework conference, hosted by UCD Sutherland School of Law and sponsored by Eversheds Sutherland.
This conference brings together regulators, leading academics, lawyers and industry leaders to consider individual accountability in financial services.
Date: 10th November
Time: 8:45 - 13:20
Please click the button above or below to register for the conference.
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Hogan Lovells Presentation on Horizon Scanning into 2024 for MiFID Firms
Date: 27th November
Time: 10:00am - 11:00am
This webinar will give an overview of the legal, policy and regulatory changes that will impact the MiFID Industry as we move into 2024.
Eoin O’Connor is a Managing Partner in Hogan Lovells and provides advice on compliance with consumer protection legislation and codes issued by the Central Bank of Ireland, prudential requirements and Irish authorisation and licensing issues in financial services. His experience includes acting for a wide range of domestic and international financial institutions, including commercial banks, investment banks and asset managers, electronic money and payment institutions, funds, fund promoters and services providers and international law firms.
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As always, we would like to thank you for your ongoing support and Compliance Institute membership.
If you have any ideas on how we can further support those working in the compliance industry, or if there is a topic you would like to see covered in our podcast series or webinar, please send an email to [email protected] and we will do our best to make it happen.
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Compliance Institute | 5 Fitzwilliam Square | Dublin 2 | Ireland | T: +353 1 779 0200 |
E: [email protected]
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