Create a Strong Institutional Culture of Compliance (in Mandarin)

Presented by

Moderator: Joyce Hsu, CAMS-FCI | Speakers: Li Xiaojie, CAMS-Audit, Anna Tsai, CAMS and Jesse Huang

About this talk

As AML experts have long observed, compliance at any financial organization is everyone’s responsibility. An effective method of reaching that achievement is creating a strong institutional culture of compliance – with support of everyone from senior management to front-line workers. In this webinar, experts detail the fundamental building blocks of a culture of compliance, and provide practical strategies for creating, implementing and maintaining that culture. 如同反洗钱专家长期以来所观察到的,任何金融机构的法规遵循是每个人的责任,而实现这一成就的有效方法,就是建立一个由高阶主管至前线员工均全面支持并强而有力的合规制度文化。在本次的网络研讨会中,专家将藉实际经验来介绍合规文化的基本组成部分,并为创建、实施和维护这种文化提供切实可行的策略。 Learning objectives include 学习目标: Gaining senior management backing to establish a culture of compliance as an institutional priority 将取得高级管理层支持并建立合规文化作为机构的优先处理事项 Integrating compliance culture concepts into risk assessment models to measure whether operational changes are needed 将合规文化概念纳入风险评估模型, 以衡量是否需要进行操作更改 Incentivizing ethical behavior by measuring it in performance reviews 由上而下在绩效评价中鼓励道德行为

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