Certificate In International Compliance

4 – 7 November 2012 • Fairmont Hotel, Dubai, UAE Back by popular demand

Certificate In International Compliance Guiding You Through The Process Of Establishing, Developing And Managing A Robust Compliance Function

Who Should Attend?

This course is designed to provide a holistic overview of compliance. All professionals with responsibility for compliance will benefit by attending, specifically: • Directors and Senior Managers • Company Secretaries • Compliance Professionals • Risk Managers • Legal Advisers and Lawyers • In-House Corporate Counsel • Auditors and Audit Managers • Compliance Officers and Managers

Organised by:

5 Key Business Benefits 1. Define the meaning of compliance for your organisation and be capable of developing an organisational response to its demands 2. Appreciate the relationship between corporate ethics, governance and compliance, including the market expectation of that relationship 3. Know what drives your compliance exposure both at home and abroad and understand the risk consequences of noncompliance 4. Recognise the implications of corporate accountability in developing a culture of compliance 5. Understand how to produce a corporate compliance programme tailored to your own organisation and learn how to optimise your organisational structure for compliance Official Regional Recruitment Partner:

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About Your Expert Course Leader

The George Washington University School of Business, IIR Middle East’s Academic Partner, is dedicated to excellence: in its teaching and research about management, in the public and private sectors, within the United States and internationally.

The school has a 75 year history of preparing men and women for leadership in both the public and private sectors. Known internationally for its dedication to academic excellence, the school draws students from all parts of the United States and around the world.

Beyond first class teaching and scholarship, the school’s faculty offers practical experience in the issues and challenges confronting business and government. Its research centres link faculty and students with US and international business and government organisations. Recent distance learning initiatives have expanded the school’s global reach.

Course Requirements And Certificates Delegates must meet two criteria to be eligible for an IIRME/ GW Certificate of Completion for a course: 1. Satisfactory attendance – delegates must attend all sessions of the course. Delegates who miss more than 2 hours of the course sessions will not be eligible to sit the course assessment.

2. Successful completion of the course assessment.

Delegates who do not meet these criteria will receive an IIRME Certificate of Attendance. If delegates have not attended all sessions, the Certificate will clearly state the number of hours attended.

Course Assessment Assessment will be based on either continuous class assessment for participant numbers up to twelve.

For groups above twelve participants assessment will be based upon participation in two group presentations and a final individual short answer quiz.

Warren F Gillian BSc, BA, MEI has had over thirty years of senior management experience in risk and compliance management.

He has been responsible for assisting new and existing businesses in over twenty countries throughout Asia, Middle East and North Africa; develop their unique responses to the changing risk and compliance landscape. In all, over 290 companies within these regions have been assisted by Warren to achieve various degrees of risk and compliance performance enhancement. He has written and published extensively in local and international media on technical and commercial compliance issues; he has presented and chaired many international conferences and has sat on and chaired numerous international advisory groups.

Warren has also presented and taught an extensive range of risk, compliance, AML and governance topics throughout SE Asia, the Middle East and Australia, he has also consulted extensively in these areas.

Warren provides high level support to company boards in the area of governance, compliance and in banking sector Basel II and III and AML compliance. He was the Deputy Director of the Australasian Risk Management Unit (ARMU), which led a consortium of Australian banks in developing an AML best practice guide.

He still maintains academic links as a post graduate lecturer in risk and compliance, for Monash University Australia. He is also a founding director of the International Institute for Enterprise Innovation, a Director of Australasian Compliance Risk Management Pty Ltd and Chairman of the Australasian Risk Management Centre (ARMC). In 2005 he was appointed Professor of Management-Risk & Compliance in the Global Business School at the Wharton Institute of Technology and Science.

Would you like to run this course in-house?

The in-house training division of IIR Middle East Tel: +971 4 407 2624 • Email: CTS@iirme.com www.iirme.com/cts

T: +971 4 335 2437 F: +971 4 335 2438 E: register@iirme.com W: www.iirme.com/compliance

Certificate In International Compliance 4 – 7 November 2012 • Fairmont Hotel, Dubai, UAE Course Timings: Registration will be at 07:30 on Day One. The course will commence promptly at 08:00 on each day and conclude at 14:30. There will be breaks at approximately 10:30 and 12:30 and lunch will be served at the end of each day’s session.

Course Objective

Course Agenda

The goal of this course is to provide compliance officers and managers with skills that can be immediately used upon return to the organisation.You will learn to appreciate the extent to which organisations and their public officers are exposed to in the ever-increasing regulatory environment, how to identify the compliance issues that have the most significance for you and how to introduce a compliance management programme within your organisation.

Introduction To Compliance • What is corporate compliance?

• Who is responsible for managing it?

• What are the benefits of its introduction?

• Fostering a culture of accountability

Why This Particular Executive Course?

Creating a culture of compliance is an important risk management strategy. Corporate collapses have heavily focused on the need for good corporate governance and an effective compliance programme is an integral part of this structure. This intensive course will provide a blueprint for you to follow to ensure that the risk profile of your organisation is limited by a thorough understanding of your regulatory environment.

Why Compliance Management?

In many financial markets, a formal compliance management system is not only recommended, but required by the regulatory community and by good corporate governance principles. Since news of financial misreporting by firms like Enron, Worldcom, Xerox and others the pressure on corporations to more transparently manage their compliance exposures are mounting.

Regulatory Drivers of Compliance • US Sentencing Guidelines 1991 • The Committee of Sponsoring Organisations (COSO) Repot 1992 • The Sarbanes-Oxley Act 2002 • The Bribery Act, 2010 UK Compliance And Business Ethics • What is ethics?

• Ethics and corporate accountability: Sarbanes Oxley • Benefits of a commitment to sound business ethics • Corporate ethics guidelines Compliance And The Role Of Corporate Governance • What is governance?

• The corporate constitution and governance structures • Duties and responsibilities of directors • Protection of stakeholder interests Developing A Corporate Compliance Programme • Code of conduct • Policies and procedures • Best practice principles • Monitoring and auditing Implementation Of Corporate Compliance • Implementation requirements • The location of the compliance function • Optimal compliance architecture • The compliance officer • Integration or independence of the compliance function Basel Accord And Compliance • A global framework • Basel accord and the role of the regulator • The compliance expectations for financial institutions under Basel accord • Financial sector response to the Basel accord

T: +971 4 335 2437 F: +971 4 335 2438 E: register@iirme.com W: www.iirme.com/compliance

Certificate In International Compliance 4 – 7 November 2012 • Fairmont Hotel, Dubai, UAE FIVE WAYS TO REGISTER +971 4 335 2437

IIR Holdings Ltd. P.O Box 21743, Dubai, UAE

+971 4 335 2438

www.iirme.com/compliance

register@iirme.com

DISCOUNTS AVAILABLE FOR 2 OR MORE PEOPLE CALL: +971 4 335 2483 E-MAIL: a.watts@iirme.com Event Certificate In International Compliance

Date

Course Fee before 19 August 2012

Course Fee before 9 September 2012

Final Fee

4 – 7 November 2012

US$ 3,895

US$ 4,395

US$ 4,695

BC4601

Course fees include documentation, luncheon and refreshments. Delegates who attend all sessions will receive an IIRME Certificate of Attendance.

Would you like to run this course in-house?

Save training $$ and create learning experiences relevant to your business. To customise this course and increase value and impact, contact Leigh Kendall on +971 4 407 2624 or email the team at cts@iirme.com

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A confirmation letter and invoice will be sent upon receipt of your registration. Please note that full payment must be received prior to the event. Only those delegates whose fees have been paid in full will be admitted to the event. You can pay by company cheques or bankers draft in Dirhams or US$. Please note that all US$ cheques and drafts should be drawn on a New York bank and an extra amount of US$ 6 per payment should be added to cover bank clearing charges. In any event payment must be received not later than 48 hours before the Event. Entry to the Event may be refused if payment in full is not received.

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Cancellation

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If you are unable to attend, a substitute delegate will be welcome in your place. Registrations cancelled more than 7 days before the Event are subject to a $200 administration charge. Registration fees for registrations cancelled 7 days of less before the Event must be paid in full. Substitutions are welcome at any time.

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Delegates requiring visas should contact the hotel they wish to stay at directly, as soon as possible.

Visas for non-GCC nationals may take several weeks to process.

All registration(s) are subject to acceptance by IIR which will be confirmed to you in writing.

Due to unforeseen circumstances, the programme may change and IIR reserves the right to alter the venue and/or speakers.

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Fairmont Hotel, Dubai, UAE Tel: +971 4 332 5555

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We highly recommend you secure your room reservation at the earliest to avoid last minute inconvenience. You can contact the IIR Hospitality Desk for assistance on: Tel: +971 4 407 2693 Fax: +971 4 407 2517 Email: hospitality@iirme.com

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