ICA International Diploma in Governance, Risk and Compliance

Detailed Information

The regulatory environment, and consequently the role of compliance, has changed significantly in recent years. There has always been a significant overlap between regulatory compliance and risk management – the compliance function’s fundamental purpose after all, is to manage the firm’s regulatory risk. And a firm’s governance, culture and organisational behaviour are core to how all risk is managed within the firm. It is both an exciting and challenging time to be a compliance professional and this course will ensure that you are fully equipped with the knowledge, skills and understanding to be the very best compliance professional that you can be.


	This programme is awarded in association with Alliance Manchester Business School, The University of Manchester

Registration Number (Non-Local Higher and Professional Education (Regulation) Ordinance): 351020
“It is a matter of discretion for individual employers to recognize any qualification to which this course may lead”

Programme

Programme Information

The regulatory environment, and consequently the role of compliance, has changed significantly in recent years. There has always been a significant overlap between regulatory compliance and risk management – the compliance function’s fundamental purpose after all, is to manage the firm’s regulatory risk. And a firm’s governance, culture and organisational behaviour are core to how all risk is managed within the firm. It is both an exciting and challenging time to be a compliance professional and this course will ensure that you are fully equipped with the knowledge, skills and understanding to be the very best compliance professional that you can be.

The Diploma is awarded in association with the prestigious Alliance Manchester Business School, The University of Manchester, and is internationally recognised by regulators and employers alike.

* The ICA International Diploma in Compliance has been renamed to the ICA International Diploma in Governance, Risk and Compliance starting from March 2015.

ICA International Diploma in Governance, Risk and Compliance Core Modules

Module 1 – Understanding

Understanding Governance, Risk and Compliance
Ethics, Integrity and Organisational Culture: Taking GRC to the Next Level

Module 2 – Context

Understanding the Complete Regulatory Environment
Know Your Regulator

Module 3 – Making It Happen

What is the Role of the Compliance Function?
Managing Regulatory Risk for the Benefit of Your Firm
Understanding How Corporate Governance Underpins the Whole GRC Framework
How to Design and Build World Class GRC Systems and Controls

Module 4 – Financial Crime Prevention

Managing the Risk of Financial Crime

Features and Benefits

1. What are the key features?

A graduate level programme resulting in a professional qualification
Awarded in association with Alliance Manchester Business School, The University of Manchester
Comprehensive course materials that can be used in the workplace
Jurisdiction specific content including case studies and scenarios
Extensive online reference materials
9 – 12 months duration
4 days of face to face workshops
2 pieces of assessed work, each approximately 3,000 words in length#
3 hour, 15 minute open-book examination#

# Starting from Intake 13, There will be THREE assignment and NO examination.

2. What are the key benefits?

Improved knowledge, developed skills
Professional designation – Int.Dip.(Comp)
Potential for career progression
Recognised mark of excellence
Reduced reputational and financial risk for firms
Enhanced workplace performance
Professional Membership of the International Compliance Association upon completion

3. What Professional qualification is awarded?

Quality Assured Training

The ICA qualifications are offered in association with Alliance Manchester Business School, The University of Manchester under a quality assured educational partnership
The ICA Diploma qualifications have been graded as Graduate Diplomas at Honours Level under the Framework of Higher Education Qualifications (FHEQ) produced by the Quality Assurance Agency (QAA).
The ICA qualifications are recognised by regulators worldwide as leading internationally benchmarked qualifications that set the standards for competency in Compliance, Anti Money Laundering and Financial Crime Prevention. ICA qualifications feature as evidence of professionalism and competence in The Central Bank of Bahrain Rule Book on Training and Competency; The Central Bank of Bahamas Guidelines for ‘Assessing the Fitness and Propriety of Money Laundering Reporting Officers’; The Guernsey Financial Services Training Matrix and the Jersey Financial Services Commission qualifications table (tables 4 and 5). The qualifications are also listed as recommended by the Central Bank of the UAE and the Qatar Financial Centre Authority.
The International Compliance Association is the government appointed Lead Provider of Financial Industry Competency Standards accredited training and assessment programmes in the field of compliance in Singapore.
The ICA Diploma in Compliance has been mapped at level 4, the highest professional level by the UK Financial Services Skills Council (FSSC)

Who should attend?

Compliance Officers
Deputy Compliance Officers
Managers with responsibility for internal compliance controls
Risk Managers
Internal and External Audit Staff
Regulatory Representatives
Accountants
Lawyers
Company Secretaries
Anyone who requires an in-depth knowledge of the compliance function and the part it plays in reducing risk

Schedule

Enrolment closing date of GRC Intake 13:
Dates	Day of Week	Time
7 May 2018	Monday	6:00 pm

Workshop Schedules for Intake 13

Workshop One
Dates	Day of Week	Time
17 May 2018	Thursday	6:30 pm – 9:30 pm
18 May 2018	Friday	6:30 pm – 9:30 pm
19 May 2018	Saturday	9:30 am – 4:30 pm

Workshop Two
Dates	Day of Week	Time
16 August 2018	Thursday	6:30 pm – 9:30 pm
17 August 2018	Friday	6:30 pm – 9:30 pm
18 August 2018	Saturday	9:30 am – 4:30 pm

Enrolment closing date of GRC Intake 14:
Dates	Day of Week	Time
31 October 2018	Wednesday	6:00 pm

Workshop Schedules for Intake 14

Workshop One
Dates	Day of Week	Time
8 November 2018	Thursday	6:30 pm – 9:30 pm
9 November 2018	Friday	6:30 pm – 9:30 pm
10 November 2018	Saturday	9:30 am – 4:30 pm

Workshop Two
Dates	Day of Week	Time
14 March 2019	Thursday	6:30 pm – 9:30 pm
15 March 2019	Friday	6:30 pm – 9:30 pm
16 March 2019	Saturday	9:30 am – 4:30 pm

The workshops are highly interactive working sessions and designed to ensure maximum learning effectiveness. All workshops are conducted by a leading compliance expert with extensive experience of the financial services sector.

Workshop Schedules for Intake 13

Assignment Due Date
	Dates	Day of Week
Assignment One	2 July 2018	Monday
Assignment Two	24 September 2018	Monday
Assignment Three	26 November 2018	Monday

Workshop Schedules for Intake 14

Assignment Due Date
	Dates	Day of Week
Assignment One	14 January 2019	Monday
Assignment Two	8 April 2019	Monday
Assignment Three	15 July 2019	Monday

ICT UK has confirmed the change of course structure. There will be THREE assignment and NO examination.

* Please note that the programme, date and time are subject to change.

Enrolment

Registration Details
Enrolment Closing Date of GRC Intake 14:
8 October 2018

For registration by mail / fax / regular email:
Please click here to download the enrolment form,
and send the completed form to the following

By email: registration@courses-seminars.com

By facsimile: (852) 2901-1332

Fee Schedule

Payment Methods

By Cheque

Please make cheque payable to “Courses & Seminars Limited” and mail your cheque together with the order form to our office at Room 203, 2/F, Prosperous Building, 48-52 Des Voeux Road Central, Hong Kong.

By Bank Transfer
Please transfer the payment amount to our account at HSBC Account No. 102-437431-001 and send us the bank receipt by fax or email.

For further information, please contact us at enquiry@courses-seminars.com or (852) 2901-1300.

Registration Conditions

Registration Conditions

(For ICA International Diploma in Governance, Risk and Compliance Full Programme and Examination Only Option)

1.

The diploma programme must be completed within two (2) years from the programme start date.

2.

To enrol for this programme, please complete the registration online or complete the enolment form and forward the form by email or fax first and mail together with payment /evidence of payment of the programme fee by way of:

(i)	cheque (and mail the cheque together with the enrolment form to Courses & Seminars Limited, Room 203, 2/F, Prosperous Building, 48-52 Des Voeux Road Central, Hong Kong); or
(ii)	direct transfer to our account with HSBC (102-437431-001) and email the supporting bank document evidencing the direct deposit at registration@courses-seminars.com or fax the same to us at 2901-1332.

3.

Programme Fees:

3.1	The programme fee is set out in the Fee Schedule (click here to visit C&S’ website for details). The fee includes the programme materials, workshops, and assessment.
3.2	Full Payment Option: Upon receipt of enrolment from by C&S, C&S will issue an invoice by email for the full amount of the programme fee; and settlement of the programme fee must be made within 7 days of the date of the invoice. The programme materials will be made available to the delegate after the payment is received by C&S.
3.3	Instalment Option: A delegate may opt for the instalment option and the programme fee will be payable in 3 instalments: the 1st instalment of the programme fee shall accompany the enrolment form or shall be paid within 3 days of the date of invoice. The programme materials will be made available to the delegate after the payment is received by C&S; the 2nd instalment is due 4 weeks before the first workshop and the 3rd instalment is due 4 weeks before the second workshop. Delegates will not be permitted to attend the workshops or receive the final results if payment is outstanding.
3.4	Instalment Option is not available for delegates of the Examination Only Option. Delegates who register for the Examination Only Option are required to make full payment for the Programme Fee within 7 days of the date of the invoice.
3.5	Any bank charges and/or expenses incurred as a result of bounced cheques and/or wire transfers will be borne by the delegate.
3.6	Our Individual Discount Packages (“IDP”) and Organization Discount Packages (“ODP”) do NOT apply to this programme.

4.

Refunds:

4.1	Refunds: Full Programme
	4.1.1	If a delegate withdraws from the programme 4 weeks or more prior to the first workshop, the programme fee will be refunded, less an administration charge of HK$2,000.
	4.1.2	If a delegate withdraws less than 4 weeks prior to the start date of the first workshop, the delegate will be refunded 50% of the programme fee.
	4.1.3	If a delegate withdraws after attending the first workshop (or any part thereof) the delegate will be refunded 25% of the programme fee. If a delegate withdraws after attending more than one workshop, no refund will be paid and full programme fee will be payable.
	4.1.4	If a delegate fails to submit an assignment or attend a workshop, no refund will be paid.

4.2	Refunds: Examination Only Option
	4.2.1	If a delegate who has selected the Examination Only option withdraws from the programme within 4 weeks of the enrolment date the delegate will be refunded 25% of the programme fee.
	4.2.2	If a delegate who has selected the Examination Only option withdraws from the programme after 4 weeks have elapsed from the enrolment date, no refund will be paid.
	4.2.3	Once a delegate has enrolled in the Examination Only Option, postponement of examinations is not permitted without good cause.

5.

Deferrals:

5.1	If a delegate defers the programme 4 weeks or more prior to the first workshop, no additional cost will be charged.
5.2	If a delegate defers the programme less than 4 weeks prior to the first workshop, an administration fee of HK$2,000 will be charged for the deferral. The Programme Fee will be transferred to the deferred programme.

6.

Once the programme has started, postponement of assignments are not permitted without good cause.

7.

Cancellation & Postponements:

7.1	International Compliance Training Limited (ICT) and/or C&S reserve the right to cancel and to reschedule a workshop, where the occasion necessitates. Neither ICT nor C&S accepts any liability if, for whatever reason, a workshop does not take place. There will be no refund if the delegate cannot attend the workshop on the rescheduled date.
7.2	Workshops will be cancelled if the No.8 typhoon signal or black rainstorm warning is hoisted within 3 hours of the workshop or during the workshop. In the event of cancellation due to bad weather, the workshop will be rescheduled to another date. There will be no refund if the delegate cannot attend the workshop on the rescheduled date.

8.

Delegates are entitled to one resubmission of each assessment and is subject to a fee payable to International Compliance Training Academy Pte Ltd. (ICTA). Delegate who will retake any assessment component will only be able to achieve the minimum pass mark in the resit.

9.

Data Protection: The personal and other information you provided in the registration process will be used by the ICA/ICT or approved agents for administrative, membership and education purposes or as required by law. Such information will also be held by C&S and will be held pursuant to C&S’ Privacy Statement available on its website (please click here for C&S’ Privacy Statement).

About ICA

About The International Compliance Association

The International Compliance Association is a professional organisation with a global membership. It is the leading provider of professional certificated qualifications and training in anti money laundering (AML), compliance and fraud/financial crime prevention. For novice and experienced practitioners alike, the ICA’s internationally recognised certificate and diploma courses are a benchmark of excellence. The qualifications enhance the knowledge and skills of individuals, improve business practice and minimise risk.

For more information on ICA please visit http://www.int-comp.org

Enquiry

Thank you for your interest in our ICA International Diploma in Governance, Risk and Compliance.
For further information, please contact us:

By email:	enquiry@courses-seminars.com
By phone :	(852) 2901-1300
By fascimile :	(852) 2901-1332