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Tag Archives | compliance officer

Moonstone’s-Compliance-Officer-Occupational-Certificate

Moonstone’s Compliance Officer Occupational Certificate

– Equip yourself with expert skills and practical experience Have you ever considered becoming a compliance officer? Now it is possible. Compliance Officers generally provide compliance services to the management of a company, to assist them in discharging their responsibilities in complying with various regulatory as well as legislative requirements. The Moonstone Business School of […]

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Compliance Officer RE Obligations

We requested clarity from the FSB on the interpretation of the various publications on this matter. Two of my colleagues at Moonstone Compliance then very kindly drew up the table below which certainly contributes greatly to understanding of what is required by whom, and when….   Compliance Officer   Approved before 1 September 2016 Approved […]

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Compliance Officer Presentation

The FSB’s presentation for compliance officers provided a lot of practical insight and advice. Whether you are an external or internal CO, there is a lot of food for thought and consideration on how you currently conduct your supervision obligations. The Agenda covers the following topics: Reporting – reporting to the FSB and the FSP, […]

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