Page 49 - CAPE Financial Services Syllabus Macmillan_Neat

UNIT 2
MODULE 2: COMPLIANCE LEGISLATION AND STATUTES (cont’d)

SPECIFIC OBJECTIVES CONTENT
Students should be able to:
(e) Risk management and ethics.
CXC A38/U2/16
(f) Steps in achieving a strategic view of
regulatory risk and compliance:

(i) identifying and prioritising
regulatory risks;

(ii) identifying and assessing the
impact of changes for new
regulations;

(iii) assessing processes in place
to manage current regulatory
risks;

(iv) assessing oversight over the
regulatory risks framework;

(v) assessing the reporting
framework; and,

(vi) identifying gaps, duplications
and inefficiencies.

(g) Controls.

(h) Assurance structures.

(i) Corporate Governance:

(i) Anglo-Saxon.

(ii) Germanic.

(iii) Latin.

(iv) Japanese.

(j) Regulatory risk framework in
international and Caribbean arenas.

(k) Risk reporting.

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