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Emerging Compliance Exposures in Financial Industry

About This Course

The emerging compliance exposures highlight the potential risks and weakness in the financial industry that precipitates from the advancement of technology and greater access to international banking facilities. This course provides the key considerations to these emerging compliance risks that have developed over the recent years and prepares the financial professionals the awareness and challenges that needs to be addressed.

Who Should Attend

  • Financial advisers
  • Relationship manager
  • Private banker
  • Research analysts
  • Portfolio managers
  • M&A specialists

Learning Outcomes

  • Identify and assess the key compliance exposures in financial industry
  • Understand the minefields of digitalisation for financial professionals and customers
  • Be aware and handle the risks of financial intrusions to financial systems and the customers
  • Understand the cross-border challenges of compliance and limitations imposed by the current pandemic
  • Be aware of the scope of cybersecurity and the technological challenges to maintain its integrity by financial professionals

Compliance Exposure Management

  • Identify key compliance exposures in the financial industry
  • Manage compliance exposures
  • Be aware on how these exposures might develop and change in due course

Financial Crimes

  • Exposures to financial crime
  • A case study for consideration
  • Approach to combat financial crimes

Digitalisation and Banking

  • Understand the need for acceleration to digital banking
  • Challenges of adopting new banking behaviour
  • Concerns on compromise and compliance
  • Issues with cross-border compliance

Social Engineering

  • Characteristics of social engineering
  • What are the common social engineering events
  • Defences against social engineering attacks

Phishing

  • Characteristics of phishing
  • Common phishing techniques used
  • Defences against phishing

Technology Reliance

  • Emerging trends associated with financial professionals in technology
  • Risk associated with relying on technology
  • Approach on key technology maintenance

Khyron Goh

CA, FCCA, SIATP

Khyron Goh (Kai) is the co-founder of Kaiden Group. He heads the Tax and Anti-Money Laundering cum Counter-Financing of Terrorism (AML/CFT) compliance department. He specializes in tax advisory for the high net-worth individuals and tax planning in Southeast Asia region for over 10 years. He also advises on the AML/CFT and CRS compliance for banks and corporate clients.

Kai started out as an Auditor at Ernst and Young before he joined a Trust Company as part of a senior management team where he headed three areas for high net worth clients in Accounting, Tax and Compliance. During his tenure, he developed a holistic range of accounting and tax services, to cater to his clients’ needs.

Kai has a passion for education and has more than 15 years of experience in imparting knowledge in the areas of tax and compliance. His previous teaching experience includes lecturing international professional accounting programs. He has also lectured UK tax for the University of Bedfordshire. Kai was also previously a lead lecturer at SAISCA (The Singapore Association of the Institute of Chartered Secretaries and Administrators), teaching Singapore Taxation for its ISCA Professional Qualification.

Currently, Kai is a very much sought after speaker by many private banks and various other private wealth institutions. Being an actual practitioner, he is able to utilize up-to-date actual case studies in his delivery to his audience.

Kai holds a degree in Applied Accounting, diploma in Anti-Money Laundering from the Institute of Compliance Association International (ICA) and Accredited Tax Advisor qualification with the Singapore Tax academy (SIATP). He is also a Chartered Accountant of Singapore (CA), Chartered Accountant of ASEAN (ASEAN CPA) and a fellow member (FCCA) for the Association of Chartered Certified Accountants (ACCA).

The Financial Training Scheme (“FTS”)

The Financial Training Scheme (“FTS”) is a training incentive scheme supported by the Financial Sector Development Fund (FSDF). The scheme supports financial sector-specific training programmes that raise the competency of the financial sector.

All our programmes are approved for listing on the Financial Training Scheme (FTS) Programme Directory and are eligible for FTS claims, subject to all eligibility criteria being met. For latest development on the Enhanced Funding Support for IBF FTS, please visit the Financial Training Scheme site.

Early Bird Discount

Enjoy 10% early bird discount when you register one (1) month before the course commencement date.

Emerging Compliance Exposures in Financial Industry

FTS

Newly Accredited
Course Features
  • Duration
    1/2 Day
  • CPD
    4 Hours
  • RRCE
    4 Hours
This course is offered for our on-site corporate classroom training.
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