How to get prepared for an inspection by the regulator in 2023
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 an inspection by the regulator and how does this course support its preparation in 2023?
CySEC is entrusted with the mission of exercising effective supervision to safeguard investor protection and foster the healthy development of the securities market. As part of its mandate, CySEC conducts thorough onsite and desk-based inspections of entities under its supervision. This course provides a detailed exploration of what regulated entities can anticipate during these investigations, equipping learners with distinctive knowledge.
The course has been designed by SALVUS Funds, and serves as a comprehensive guide for professionals preparing for regulatory inspections. Delving deep into key inspection areas, including governance arrangements, organizational requirements, and department-specific considerations, this course equips learners with valuable insights. Developed by the experienced Regulatory Compliance team at SALVUS, the course incorporates their first-hand expertise from successfully navigating inspections conducted by regulators for clients with diverse business models.
The How to get prepared for an inspection course is a self-study learning course, developed for key position holders of CIF, CASP and other CySEC regulated entities. By completing this course, professionals will acquire the necessary skills and competencies to strengthen firm policies and procedures, thereby ensuring a successful inspection by the regulator at any given time. Furthermore, the course examines the supervision priorities mandated by the European Securities and Markets Authority (ESMA) and offers significant inspection tips. Lastly, it provides insights into post-inspection communication and understanding inspection results for effective compliance management.
The completion of this course counts towards Continuous Professional Development (CPD) annual requirements for CySEC Advanced and Basic certifications.