Compliance event video, presentation and Q&A

The Isle of Man Financial Services Authority recently hosted an event for senior compliance professionals as part of its ongoing programme of engagement with the finance sector.

The session, which took place at the Manx Museum Lecture Theatre, covered a range of key topics including:

• Fitness and propriety
• Role of the compliance officer
• Role of the Money Laundering Reporting Officer
• Role of senior management
• Compliance framework
• Reporting and escalation
• Relevant case studies

A short presentation was followed by an open question and answer panel discussion. There was also an opportunity for attendees to discuss matters more informally with senior executives from the Authority before and after the main session.

A recording of the event has been published online, along with a copy of the presentation slides and a Q&A document capturing some of the main themes that were raised.