Learning Platform - "Trade Compliance & Surveillance"

Course: Certification Regime

About the online training programme

This training touches on the basics of the Certification Regime. In this course it is explained what this regime is about and to whom it applies. Attention is given to the role firms in scope have to perform and how to organise this.

Course contents

This training includes the following topics:

• Roles
  • Significant Harm Functions
  • Material Risk Takers
• Certification
  • Certifying that employees are ‘fit and proper’
  • Certification functions
• Risk of significant harm to:
  • The firm
  • Its reputation
  • Its customers
• How, when & what?
  • Annual certification
• Relevant aspects
  • Qualification
  • Training
  • Competence
  • Personal characteristics