E-learning Compliance & Integrity
Strengthen your organisation’s integrity and protect it from compliance risks. In this e-learning, you’ll gain the practical skills and insights needed to foster a healthy culture, prevent conflicts of interest, and ensure lasting compliance.
- vrij van btw
- all-in tarief
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Study at your own pace
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Online
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Exam-oriented practice
- vrij van btw
- all-in tarief
-
Study at your own pace
-
Online
-
Exam-oriented practice
The E-learning Compliance & Integrity teaches you what compliance and integrity mean, why it is important to recognise different compliance risks and why it is important to be compliant and remain compliant. The rules of conduct for preventing conflicts of interest and the importance of culture and behaviour are also discussed.
The E-learning Compliance & Integrity delves into the following topics:
Culture, behaviour and oath
Compliance officers used to work mainly with laws and regulations: if you don’t comply with the law, stiff sanctions await. However, this is just too short-sighted. Compliance is more than just laws and regulations. People’s behaviour is not only determined by laws and regulations, but more by the culture within an organisation. What exactly is meant by behaviour and culture, what is expected and how can you influence this yourself?
Code of conduct and rules of conduct
A code of conduct and rules of behaviour are necessary to safeguard integrity. Rules generally serve as guidelines for the way business is done, but how do you know if someone abides by the rules? What is inappropriate and undesirable behaviour? And how do you report it? Do you have to report it yourself or can you make use of the whistle-blower regulation? In this e-learning, we explain the steps you can take to make a report.
Conflicts of interest
Finally, we explain more about conflicts of interest. Because what difference does it make if you accept VIP football tickets or concert tickets from that one customer? After all, you will always treat the customer as an equal to other customers. Won’t you? Or will saying ‘no’ become more difficult? We teach you how to prevent conflicts of interest in relation to business gifts and donations, what risks corruption entails and how you can help combat it. We will also show you how to prevent conflicts of interest in relation to ancillary positions and how to manage the risk of insider trading.
This e-learning consists of the following chapters:
- Culture, conduct and oath
- Code of conduct and rules of conduct
- Conflicts of interest
Each chapter ends with a self-test including feedback. The e-learning concludes with a final test consisting of 15 multiple-choice questions.
We will send your e-learning login details to you by e-mail within two business days.
The E-learning Compliance & Integrity is suitable for employees who are active in the financial sector, regardless of their role or level of experience. Think of compliance officers, risk managers, client advisors, team leaders, or professionals aiming to expand their knowledge.
Custom made
This e-learning is a general e-learning for people working in the financial sector. We also offer custom made e-learning which can contain specific policies regarding your organisation.
Veelgestelde vragen
We begrijpen dat je misschien vragen hebt. Om je snel op weg te helpen, hebben we de meest voorkomende vragen en antwoorden voor je verzameld. Zo heb je direct inzicht in de informatie die voor jou relevant kan zijn.
Compliance is important for all organizations. Laws and regulations are constantly being updated to prevent financial crises and fraud, and to strengthen the financial sector. Failure to comply (non-compliance) can lead to serious consequences, such as hefty fines, revocation of licenses, or even prison sentences. Non-compliance also has the potential to damage an organization’s reputation.
A compliance officer helps to avert such predicaments and contributes to an ethical and transparent corporate culture. That is why this role is not only essential in the financial sector, but is increasingly being adopted by organizations in other fields of work as well.
Dutch legislation, such as the Wft, Wwft, and Wtt, requires financial institutions to establish a compliance function. This means that a financial organization must set up an appropriate structure and clear procedures to safeguard compliance. In practice, this often results in a compliance officer being appointed. For financial institutions supervised by DNB, AFM, and/or BFT, hiring a compliance officer is in many cases even mandatory.
Outside the financial sector, no such obligation exists. Nevertheless, we see that more and more organizations consciously choose to recruit a compliance officer, because integrity and compliance are on the radar there as well.
Compliance is about adhering to laws, rules, and internal agreements: doing what is formally required. Integrity goes a step further and is about acting ethically and responsibly, even when no specific rules exist.
Where compliance provides structure and helps manage risks, integrity forms the foundation for trust, reputation, and an open organizational culture. Together, they ensure that organizations not only operate safely and reliably but are also future-proof and socially responsible.
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