Risk-based compliance

"1. Role of compliance - relationship to due diligence. 2. Need for compliance - requirements and risks. 3. Risk analysis and surveying. 4. Fashioning compliance systems. 5. In-house and contractual obligations. 6. External compliance obligations. 7. Relevant issues in Employment law. 8. Relevant issues in FSMA. 9. Special compliance obligations i.e. money laundering, insider dealing, employment. 10. Enforcing compliance obligations. 11. Compliance in multi-level and multi-business enterprises. 12. Ensuring co-ordination nationally and internationally. 13. Dealing with the regulators and enforcement."