• Compliance Policy in banks
• Compliance Principles banks
• Role & Responsibilities of Chief Compliance Officer (CCO) in banks
• Role of Risk Based Internal Audit and Inspection in banks
• Reporting Framework and Monitoring Compliance in banks
• Disclosure Requirements in compliance audit
• Accounting Standards
• Disclosures under Listing Regulations of SEBI in compliance audit
• Compliance Governance Structure
• Responsibility of the Board and Senior Management in compliance governance
• Compliance Structure at the Corporate Office in banks
• Compliance Structure at Field Levels in banks
• Internal Controls in banks related to compliance governance
• Compliance Issues in banks
• Compliance Risk in banks
• Inherent Risk and Control Risk in banks
• Independent Testing and Effective Audit Programme
• Reporting Framework and Monitoring Compliance in banks
• Role of Inspection and Audit in banks
• Loan Review Mechanism/Credit Audit in banks
• What is Good Compliance in banks
• How to Create Compliance Culture Across the Organisation in banks
• What is Governance, Risk and Compliance (GRC) in banks
• Benefits of an Integrated Governance, Risk and Compliance (GRC) Approach
• Whistle-blower Policy in banks
• The Components of a Whistle-blower Policy
• Reasons for Compliance Failures in banks
• Framework for Scale Based Regulation for Non-Banking Financial Companies;
• Framework for Compliance Function and Role of Chief Compliance Officer in Non-Banking Financial Companies in Upper Layer and Middle Layer (NBFC-UL & NBFC-ML)
• Definition of Fraud
• Definition of Forgery
• Areas in which Frauds are committed in Banks
• Banking and Cyber Frauds; Fraud Reporting and Monitoring System
• Vigilance Function in Banks
• RBI Guidelines for fraud and vigilance in banks