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PRESENTATION BY STAFF
COLLEGE, CHENNAI.
COMPLIANCE LAWS
BANKING REGULATION ACT
RESERVE BANK OF INDIA ACT
FOREIGN EXCHANGE
MANAGEMENT ACT
PREVENTION OF MONEY
LAUNDERING ACT
COMPANIES ACT
INCOME TAX ACT. ETC. ETC
COMPLIANCE GUIDELINES
RBI
SEBI
IRDA
COMPLIANCE STANDARDS
VOLUNTARY
IBA
BCSBI
FEDAI
FIMMDA
COMPLIANCE CODE OF
CONDUCT
BOOK OF INSTRUCTIONS
MANUALS
CIRCULARS
CONSEQUENCES OF NON
COMPLIANCE
Non observance of these guidelines
COMPLIANCE RISK
Compliance Risk, which is a risk
COMPLIANCE RISK
Compliance Risk is also referred to
COMPLIANCE STARTS AT
THE TOP
In order to inculcate the best corporate compliance
The
COMPLIANCE
MANAGEMENT
Compliance
COMPLIANCE FUNCTIONS
All the functionaries, irrespective of
COMPLIANCE FUNCTIONS
The primary focus of compliance function
COMPLIANCE FUNCTIONS
As the Bank is also engaged in other
COMPLIANCE FUNCTIONS
Oversee and ensure that function
COMPLIANCE FUNCTIONS
Be a friend, philosopher and guide
COMPLIANCE FUNCTIONS
The compliance function and the audit
function shall be kept separate without any
overlapping of their functions.
COMPLIANCE STRUCTURE
Compliance
is the backbone of
corporate governance in every
organization and hence every
individual staff
Every individual staff, irrespective of
the cadre, is a compliance officer to
the extent of the compliance
requirements expected of him / her.
COMPLIANCE STRUCTURE
Overall responsibility of the Head of the
COMPLIANCE STRUCTURE
CENTRAL OFFICE DEPARTMENTS
FILED GENERAL MANAGERS
OFFICE
REGIONAL OFFICES
WILL DESIGNATE A CHIEF / SENIOR
MANAGER TO BE THE COMPLIANCE
OFFICER
COMPLIANCE STRUCTURE
STAFF TRAINING CENTRES:
The Head of Training Centers shall be the
COMPLIANCE STRUCTURE
In order to avoid conflict of interest,
COMPLIANCE COMMITTEE
The Operational Risk Management
COMPLIANCE DEPARTMENT
IDENTIFYING AND ASSESSING ON A PROACTIVE
BASIS THE COMPLIANCE RISKS ASSOCIATED WITH
THE BANKS VARIOUS BUSINESS ACTIVITIES
COMPLIANCE DEPARTMENT
COMPLIANCE CERTIFICATES
The formats of certificates and periodicity
IDENTIFICATION, ASSESSMENT,
MONITORING & RISK MANAGEMENT
Compliance Department shall, on a pro-active
NEW PRODUCTS
UPDATES
Compliance
Department
shall
periodically circulate the instances
of compliance failures amongst the
staff with proper guidelines to
prevent such instances.
INSPECTION REPORTS
Inspection and audit reports, including
CATEGORISATION
REPORTING
GUIDANCE, EDUCATION,
TRAINING & COMMUNICATION
Adequate
training commensurate
to the requirement of the functions
carried out shall be provided by the
Staff College in coordination with
Compliance Department.