Organizational and Operational Requirements & Client Funds Safeguarding in 2023
The course is suited and recommended for the annual Continuous Professional Development (CPD) requirements of Members of the Board of Directors, Compliance Officers, Officers responsible for the Safeguarding of Client Funds, as well as key function holders in CIF entities and other entities regulated by the Cyprus Securities and Exchange Commission (CySEC). In addition, it can be valuable for lawyers, accountants and internal auditors of regulated investment firms.
online video recordings
certification of 5 hours of CPD
Director of Risk & Compliance at SALVUS Funds
- Member of the Global Institute of Internal Auditors (IIA)
- Member of the Cyprus Investment Funds Association (CIFA)
- Certified Actuarial Analyst (CAA)
- CySEC Advanced Certified Person
- CySEC certified Anti-Money Laundering Compliance Officer (AMLCO)
what is the Organizational and Operational Requirements & Client Funds Safeguarding course and what are the learning outcomes?
Businesses engaged with the provision of investment services and the performance of investment activities must secure prior authorization and effective supervision by CySEC. To obtain and sustain the coveted investment services license, meeting critical organizational and operational requirements is essential for seamless compliance. Moreover, meticulous measures and controls are necessary to safeguard client funds and financial instruments effectively.
Developed by SALVUS Funds the course shares the latest best practices for CIF regulated entities' organizational and operational requirements. This comprehensive course equips professionals with vital information and skills to establish or enhance internal procedures and align them with demanding regulatory standards.
For CIF regulated entities authorized to safeguard client funds and financial instruments, this course examines critical measures and controls to be adopted or improved. It serves as a useful resource for Board of Directors Members and key function holders, who bear the ultimate responsibility for ensuring a regulated firm’s full compliance with the applicable legislative framework.
The completion of this course counts towards the Continuous Professional Development (CPD) annual requirements for CySEC Advanced and Basic certifications.