Module 3 - an effective compliance function enhanced competency framework - compliance

Law, S. ORCID: https://orcid.org/0000-0002-5231-2845 (2023) Module 3 - an effective compliance function enhanced competency framework - compliance. Hong Kong Institute of Bankers.

Abstract/Summary

This module aims to provide candidates with fundamental concepts and knowledge in relation to the element of an effective compliance function. Basic principles and the components of compliance framework associated with the three lines of defence. The roles and responsibilities of the HKMA in the banking supervisory function are also discussed. Compliance programmes and common compliance tools are introduced to enable candidates to apply in their daily job tasks as a compliance professional. The role of technology in compliance is also introduced.