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Auditing Investment Businesses

Price £

745

+VAT

Duration

Full day

We can run this course inhouse or privately just for you and your colleagues.

 

Please submit a training request to check availability and prices.

About the Course

The aim of this training course is to provide internal auditors of banks who are new to or need a refresher on investment business aspects of the bank with a comprehensive understanding of the regulatory framework for investment businesses in the EU.

Our course will focus on what regulators want to achieve and how they go about doing that, as well as the implications for regulated investment businesses. The course will also cover the expectations of control functions and outsourced services, the regulatory expectations of investment distribution and asset management businesses, and the key elements of successful internal audits.

Investment Business Aspects of Banking course for internal auditors covering the EU regulatory framework for investment businesses, control functions, outsourced services & successful audits.

Learning Outcomes

Upon completion of this course, participants will be: 

  • Understand the regulatory framework for investment businesses in the EU, including the key regulations and directives governing investment businesses. 

  • Understand the goals of regulators in the EU and how they go about achieving these goals. 

  • Identify the implications of the regulatory framework for regulated investment businesses, including the requirements for capital adequacy, risk management, and reporting. 

  • Understand the expectations of control functions and outsourced services, including the role of compliance, risk management, and internal audit. 

  • Identify the regulatory expectations of investment distribution and asset management businesses, including the requirements for product design, marketing, and suitability. 

  • Understand the key elements of successful internal audits, including the importance of risk assessment, planning, and reporting. 

By the end of the course, participants will have a solid understanding of the investment business aspects of banking and be able to perform effective internal audits in this area."

Course Outline

This course is designed to provide internal auditors of banks with a comprehensive understanding of the regulatory framework for investment businesses in the EU. This course covers the key regulations and directives governing investment businesses, the goals of regulators in the EU, and how they go about achieving these goals. 


Participants will learn about the implications of the regulatory framework for regulated investment businesses, including the requirements for capital adequacy, risk management, and reporting. They will also gain an understanding of the expectations of control functions and outsourced services, including the role of compliance, risk management, and internal audit. 


In addition, participants will learn about the regulatory expectations of investment distribution and asset management businesses, including the requirements for product design, marketing, and suitability. The course will cover the key elements of successful internal audits, including the importance of risk assessment, planning, and reporting. 


By the end of the course, participants will have a solid understanding of the investment business aspects of banking and be able to perform effective internal audits in this area.

Required Knowledge and Skills

The course is suitable for anyone in financial services . This course can be adapted so that it specifically addresses individuals working in specific roles such as risk and compliance, front, back, and middle office personnel, board members, and senior managers.

About Your Trainer

Daiman Baker

Daiman Baker

Daiman has 20 years of experience in London-based investment banks in front office compliance advisory roles and in delivering regulatory change across multiple EU and UK pieces of legislation.

Leveraging his background as a lawyer, Daiman delivers design, implementation, remediation projects, business governance / management structures, SME / regulatory interpretation input, policy and procedure drafting and training.

At Leaman Crellin Daiman focuses on regulatory consulting and training to firms, both TradFi and those operating in the Web3 space.

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