Compliance Risk Identification and Analysis

3.5 CPD

R342.08

This learning unit will cover applying the compliance risk identification phase of the compliance risk management process to identify relevant regulatory items that should be included in an organisation’s compliance universe. It will also identify and describe key activities and considerations related to applying this phase of the compliance risk management process to this level of regulatory requirements.

The outcome for this CPD learning unit is to allow you to understand compliance risk identification and analysis.

Description

Focus Area

  • Discuss how to identify compliance risk in an organisation
  • Define and discuss an organisation’s compliance universe
  • Discuss the importance of analysis and interpretation of compliance risks relevant to an organisation
  • Discuss the importance of business involvement in identifying regulatory requirements applicable to the organisation

Who should register?

Compliance personnel, risk management personnel, business owners, key individuals

CPD information

3.5