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Our Financial Compliance and Legal Aid Payments Course provides a brief overview of historical changes and the current regulations. The course will cover what VAT regulations and the SRA Accounts Rules say on legal aid payments and will provide practical advice and tips on how to account for these payments so you adhere to the rules and regulations of the profession. Target Audience This course is suitable for those in the legal profession who oversees, or is responsible for or involved in accounting for legal aid funds, including, costs lawyers, legal cashiers, COFA, those supporting the COFA, account managers, etc. Resources An information pack including the course slides will be provided to all delegates after the course, which may be useful for ongoing reference. Please note a recording of the course will not be made available. Speaker Sarah Charlton, Consultant, DG Legal Sarah has a BSc (Hons) in Applied Accounting and is a Fellow member of the Association of Chartered and Certified Accountants. Her career spans over 35 years working within the legal sector, fulfilling roles from COFA through to CEO. During her career she has worked with a number of legal regulators, professional bodies and government organisations. Sarah has been a member of the Institute of Legal Finance and Management throughout her career, qualifying as a Fellow member in 2005. Sarah also served as chairperson between 2010-2012 and continues to serve as an Executive Council Member.

Duration 5 Days 30 CPD hours This course is intended for Implmentation Consultants, Business Users, IT Governance Experts, Compliance Managers Overview Discuss the purpose and business use of Process ControlDescribe key features and related harmonization topicsDescribe risk-based internal controlsConfigure Process Control customizing settings and those shared across GRCCreate and manage master dataDiscuss security and authorization requirementsImplement the Process Control solutionUse risk-managed financial compliance practicesPlan and process surveys and testsSet up and maintain Continuous MonitoringIntegrate and use Process Control with Policy ManagementDiscuss operational complianceAggregate deficienciesUse the harmonized reporting frameworkDescribe the use of custom-defined fields and document search This course offers hands-on configuration and implementation of SAP Process Control 10.1, as well as important concepts you will need to know in order to prepare for implementation and ongoing prevention of process risk. Enterprise Goverance, Riskl, and Compliance (eGRC) Risk-Based Approach to Managing Compliance Initiatives Integrated GRC Approach Governance Governance Overview Governance Using Process Control 10.1 Daily Business Use Harmonization Overview Harmonization Concepts Work Centers Setting Up an Entry Page Technical Landscape Configuration Requirements Customizing Central Tasks Shared Master Data and Reports Workflow Authorization Updates Process Control-Specific Customizing Create & Manage Master Data Master Data Overview Setting Up an Organization Hierarchy Setting Up the Account Group Hierarchy Setting Up the Central Process Hierarchy Setting Up the Indirect Entity-Level Control Hierarchy Harmonized Risk Model Uploading Master Data with MDUG Content Lifecycle Management Master Data Change Request Workflow Surveys and Manual Tests Survey and Test Overview Planner Overview Assessment Survey Manual Test Manual Test ? Offline Forms and Data Sheets Disclosure Survey Issue Remediation Risk-Managed Financial Compliance Risk-Based Financial Compliance Materiality Analysis Risk Assessment Control Risk Rating Test Strategy Risk Coverage Analysis Integration with SAP Audit Management Ad Hoc Issues Ad Hoc Issues Integration with SAP Fraud Management Policy Management Policy Management ? Overview Configuring Policy Management Policy Lifecycle Management Continuous Monitoring Continuous Monitoring ? Overview Continuous Monitoring ? Preconfiguration Creating a Data Source Creating a Business Rule Assigning Business Rules to a Control Scheduling a Continuous Monitoring Job Monitoring a Continuous Monitoring Job SAP Queries SAP BW Query Setting Up a Configurable Rule Subscenario Create a Programmed Rule ABAP Reports Process Integration Subscenario SoD Integration Web Service for Continuous Monitoring Event-Based Monitoring SAP HANA Views New CCM Content Upload Capabilities Operational Compliance Overview Operational Compliance Overview and Key Trends CAPA Operational Compliance-Specific Focus in CCM Closing Activies in an ICS Management Cycle Sign-Off Aggregation of Deficiencies Reporting Reports Overview Report Framework Harmonization Dashboard Overview Security & Authorization Security and Authorization ? Overview Authorization Configuration and Setup Implementation Scope and Approach Implementation Scope and Approach Establishing a Compliance Framework Configuring a Multi-Compliance Framework (MCF) Other Process Control Features Custom-Defined Fields Document Search

Know Your Customer (KYC) Course Overview: The "Know Your Customer (KYC)" course is designed to provide learners with a comprehensive understanding of KYC processes, their relevance in financial services, and the associated regulatory requirements. Covering vital topics such as customer identification, anti-money laundering (AML) strategies, and the protection of data privacy, this course equips learners with the knowledge needed to navigate the complex landscape of KYC compliance. By the end of the course, learners will be able to apply these concepts in their daily professional roles, ensuring adherence to industry regulations and maintaining robust compliance standards. Course Description: This course delves deeper into the principles of KYC, focusing on customer due diligence, risk management, and anti-money laundering (AML) practices that safeguard organisations against financial crimes. Learners will explore the relevant regulations governing KYC in the UK and the methods used to conduct thorough customer verification. Additionally, the course provides insights into data privacy requirements, helping businesses mitigate risks and comply with industry standards. With interactive learning modules and assessments, this course ensures that participants gain practical knowledge, enhance their professional skills, and build a strong foundation in KYC and AML compliance. Know Your Customer (KYC) Curriculum: Module 01: Introduction to KYC Module 02: Customer Due Diligence Module 03: AML (Anti-Money Laundering) Module 04: KYC, AML, and Data Privacy Regulations for Business Operations in the United Kingdom Module 05: Regulations to be Complied by Industries Module 06: Methods for Carrying Out KYC and AML and the Future of KYC Compliance (See full curriculum) Who is this course for? Individuals seeking to understand KYC compliance Professionals aiming to enhance their knowledge of financial regulations Beginners with an interest in finance and regulatory compliance Anyone looking to advance their career in risk management or compliance Career Path Compliance Officer Anti-Money Laundering (AML) Specialist Risk Management Consultant KYC Analyst Financial Compliance Advisor

Financial reporting best practices involve adherence to accounting principles, regulatory requirements, and industry standards. CFOs should stay informed about evolving accounting standards and regulatory changes. Regularly review updates from regulatory bodies such as the Financial Reporting Council (FRC) and International Financial Reporting Standards (IFRS) to ensure compliance. Engage with industry associations and professional networks to stay abreast of best practices and emerging trends in financial reporting. By actively staying informed, CFOs can adapt their processes and policies to meet changing requirements. Regulatory compliance is a key aspect of financial reporting. How do CFOs navigate the landscape of regulatory requirements and ensure compliance within their organisations? Navigating the regulatory landscape requires a proactive and diligent approach. CFOs must develop a deep understanding of the relevant regulations, such as the Companies Act, UK GAAP, or IFRS, depending on the reporting framework. They collaborate with legal teams and auditors to interpret and apply the regulations correctly. Implementing strong internal controls, conducting regular compliance assessments, and engaging in external audits are essential steps to ensure compliance and mitigate potential risks. Compliance is an ongoing process. CFOs should establish a culture of compliance throughout the organization, emphasizing the importance of ethical practices, accuracy, and transparency in financial reporting. Training programs, internal communication, and regular compliance reviews help foster a compliance-conscious culture. By creating a framework that promotes adherence to regulations, CFOs establish a solid foundation for accurate and reliable financial reporting. https://www.fdcapital.co.uk/podcast/the-intricacies-of-financial-reporting-and-compliance-in-the-uk/ Tags Online Events Things To Do Online Online Seminars Online Business Seminars #financial #compliance #reporting #uk #intricacies