Single Officer and MaDepot 2024 | FORUM • Institute for Management GmbH | 11 December 2024 | Online

In this online seminar, you will gain an insight into the requirements of the Single Officer role and gain knowledge of the key activity steps in the "annual compliance cycle": risk analysis, monitoring plan, control activity, report. Proof of expertise included!

Topics
• Legal basis and requirements for the function: MiFID II, WpIG, WpDVerOV, MaDepot
• Duties of the Single Officer
• Details of the activity modules in the annual compliance cycle: risk analysis, detailed monitoring plan (securities, client funds), controls, reporting
• Discussion of a report by the Single Officer
• Practical tips and advice for implementation
• With templates for risk analysis, annual report, monitoring plan

Who should participate?
The online seminar is aimed at all employees of investment services companies who need the necessary information on the scope, content and delimitation of the single officer's area of ​​activity. Either because they currently perform the function themselves, in preparation for a future takeover (e.g. current single officers, MaComp-WpHG compliance officers, MaRisk-whole bank compliance officers, employees of the market follow-up liability or securities account control) or because they would like to document their expertise internally and externally. In addition, the seminar is aimed at everyone who monitors the activities of the single officer (internal audit, external auditors) and those who advise investment services companies on their compliance organization.

Aim of the event
Since 2018, MiFID II has required the "Single Officer" function to be represented in the compliance organization of an investment services company. BaFin provided more specific information on this in August 2019 with the MaDepot. In this online seminar, you will gain an insight into the requirements for the Single Officer function and gain knowledge of the key steps in the "annual compliance cycle": risk analysis, monitoring plan, control activity, report. You will thus acquire the necessary theoretical expertise in accordance with 2.1.5.3 MaDepot as well as proof of expertise.

Your benefit
After the online event:
• Do you know the legal basis of the Single Officer’s activity?
• Do you know the expectations of the performance of the function,
• Do you know what knowledge, skills and resources a Single Officer needs,
• you have an insight into the essential activity components of a single officer,
• you have learned the structure, content and focus/risk orientation of a risk analysis using a practical report and can derive possible control activities from it,
• you can set up the Single Officer Compliance Organization in its essential features, carry out a risk analysis and create a monitoring plan.
• Participant comments June 2024: "Very good overview of practical examples", "very eloquent speaker with very good approachability", "concrete classification of • • • practical questions", "very structured presentation with a clear thread", "super support on the technical side"
• Overall impression Martin Lubos: 4.4 stars

2024 Speaker

Martin Lubos
Senior Compliance Manager, Trade Republic Bank GmbH, Berlin

2024 Partners

• TrustPilot
• Klimaneutral