Dear member,
Welcome to the March 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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“Dear CEO” Letter (Key Regulation and Supervision Priorities for 2023)
The Central Bank issued a Dear CEO Letter to the Financial Services Industry on February 16th outlining their key regulatory and supervisory priorities for 2023. It aligns with this letter that the Central Bank’s Governor Gabriel Makhlouf wrote to the Minister of Finance in January confirming the Central Bank's regulatory priorities.
Below is a link which summaries the Letter.
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Open Consultation Papers
Below is a link with a table outlining current noteworthy Open Consultation Papers.
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Compliance Institute Education - Register Now:
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Professional Certificate in Leadership for Compliance Professionals
This course is aimed at new or experienced managers, supervisors and team leaders or aspiring leaders in the workplace who want to learn how to improve their leadership and influencing skills. The next course is scheduled to commence on Monday 20th March 2023 and will run one morning over 8 weeks from 9:30am to 12:30pm subject to a minimum number of students.
For information on how to register for the course and a copy of the detailed syllabus, see compliance.ie or email [email protected]
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Professional Certificate & Diploma in Compliance (PDC), a level 7 qualification on the NFQ, provided by IOB and awarded by UCD, closing date for registration: 20th March 2023.
Have you thought about a career in Compliance? The ever-evolving regulatory landscape presents opportunities and demand for qualified compliance professionals. The PDC is the perfect way to start or advance your career in this field.
On Monday 6th March, IOB are holding a Q&A session, don't miss this opportunity to learn about the industry benchmark qualification and how it can help you succeed in your compliance career.
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Audit Committee Vacancies
The Institute’s Audit Committee is currently looking for members. The primary function of the Committee is to provide oversight of the financial reporting and the internal control framework of the Institute.
The Committee provides a link between the Council and the external auditors and is independent of the Institute’s day to day executive management. Knowledge of financial reporting would be desirable.
For further details on the work of the audit committee or to apply please email [email protected].
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Pensions Working Group Vacancies
The Institute's Pensions Working Group wishes to recruit additional members. The Pensions Working Group provides members with the latest insights on current and pending pension, funds and investments issues.
So, if you have experience or an interest in this area and would like to participate on this Working Group, please email [email protected] to register your interest.
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Central Bank of Ireland
Client Asset Requirements – Update on Revised Rules
Free Online Event
Date: 2nd March
Time: 13:00 - 14:00
CPD : 1 hour LCI, FCI (Compliance), QFA, CPD Member, RS COD Member, Professional Banker, Certified Investment Fund, Director, Wealth Management Professional, Accredited Funds Professional, Savings and Investments MCC
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International Women's day
#Embracing Equity
Free Online Event
Date: 8th March
Time: 13:00 - 14:00
CPD : 1 hour LCI, FCI (Compliance), FCI (Ethics), CECA, CFRCP, Professional Banker, Chartered Banker, Certified Bank Director
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How to Improve Ethical Behaviours and Culture in Financial Services Firms
Free Online Event
Date: 14th March
Time: 13:00 - 14:00
CPD : 1 hour for LCI, FCI (Compliance), FCI (Ethics), CECA, Professional Banker, Chartered Banker, Certified Bank Director, Certified Investment Fund Director, Accredited Funds Professional
0.5 hours of Ethics for CDPO, CFCP, CFRCP, QFA, CPD Member, RS CPD Member, Personal Insolvency Practitioner, Wealth Management Professional, Retirement Planning Professional, MCI Board Member or Equivalent, Regulatory Reporting Professional
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Preparing for a regulatory inspection and delivering an effective risk mitigation programme action plan
Date: 17th April
Time: 13:00 - 14:00
CPD : TBC
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Watchlist Data & Screening Trends
Date: 4th May
Time: 13:00 - 14:00
CPD : 1 hour LCI, FCI (Compliance), CFCP
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The Compliance Files Podcast Series
Last month we released four episodes of The Compliance Files.
The topics covered include Lifelong Learning, Consumer Protection Regulation and the impact of regulation on marketing and advertising in financial services.
To listen to the podcasts in full, please find enclosed below a link to the Podcasts section of our website where you can listen to these and more episodes:
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McCann FitzGerald GDPR Research Survey
McCann FitzGerald in association with Mazars in Ireland, have for the seventh consecutive year, commissioned a piece of online research to be carried out by Behaviour & Attitudes (B&A).
As the fifth anniversary of the introduction of the GDPR approaches, they continue to seek to understand your views regarding the world of data privacy and the Regulation itself.
This year, they are particularly interested in understanding how you view the GDPR now versus your original expectations and what areas, if any, might be in need of change or reform.
We would be grateful if you could take the time to complete the survey.
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The ABC's of Planning for IAF
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With the new IAF regime almost here, compliance professionals are looking for ways to prepare for what’s to come.
On Thursday, 30th March at 11:00 StarCompliance are having a sit-down with Mazars IAF lead, and Compliance Institute member, Kian Caulwell, for insights, advice, and best practices on how to effectively plan for IAF so you’re ready when the time comes.
To register for this event please click on the link enclosed below.
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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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