Campus/Live Online

Training Programme on

GOVERNANCE RISK
&
COMPLIANCE
in
Banks and Financial Institutions
January 17 – 20, 2023
(On Campus duration 4 days)
(Online Course duration 25 hours)

Programme Directors
Dr Kaushik Mukerjee
Dr Dipali Krishnakumar

National Institute of
Bank Management
Pune, India
Background
Compliance is one of the most crucial issues in the financial industry today. Internationally,
regulators have been increasingly scrutinizing and monitoring financial institutions to
ensure compliance with various statues and regulations. The Reserve Bank of India lays
significant emphasis on the assessment of the compliance function of banks under the Risk
Based Supervision approach. Banks are required to ensure compliance to various statutes,
regulations and norms.
The importance of this function has been emphasised by the Basel Committee on Banking
Supervision which has said “Compliance starts at the top. It will be most effective in a
corporate culture that emphasises standards of honesty and integrity and in which the board
of directors and senior management lead by example. It concerns everyone within the bank
and should be viewed as an integral part of the bank's business activities. A bank should hold
itself to high standards when carrying on business, and at all times strive to observe the spirit
as well as the letter of the law. Failure to consider the impact of its actions on its
shareholders, customers, employees and the markets may result in significant adverse
publicity and reputational damage, even if no law has been broken.”

Objectives
This programme has been designed keeping in view the need to set the tone at the top
where good corporate governance enables establishment of a culture of compliance
and adherence to both the spirit and letter of law. The programme would facilitate
branch incumbents, functional managers and senior management to understand the
compliance requirements of various business functions; and to acquire the skill set for
establishing a culture of compliance in their organizations.

Programme Content
q
Compliances, compliance culture and its relevance for effective governance
q
Roles and responsibilities of compliance officers
q
Good practices for enabling better compliance
q
Basel norms and risk related compliances
q
Management ethics & ethical dilemma
q
HR related compliances
q
KYC compliance & compliances of money laundering Act
q
Preventive vigilance
q
Disclosure norms & financial reporting compliances,
q
Fraud prevention & reporting compliances
q
Risk-based Internal Audit
q
Priority sector norms and compliances
q
Role of leaders in leveraging strategic advantage through compliance
q
Digital frauds and countermeasures
 q
Credit monitoring and NPA management - compliances
q
FEMA & FEDAI Compliances
q
Risk Governance
q
Red flagging of accounts and wilful defaults
q
Cases in bank frauds

Target Audience
v
Officers responsible for ensuring good governance
v
Functional Managers & Dealing Back office officers
v
Officers dealing with regulating compliance in banks & FI at controlling
offices

Modalities
Participants can opt for either On-line mode or Campus mode of attendance

Online Mode
This online course will have 25 hours of engagement time spread over 4 days, which will
include several self-paced study materials, case studies and live interactions with faculty or
guest lecturers.
Participants enrolled in the programme will be provided with login credentials to access the
learning platform of NIBM. Guidance will be provided for navigating through the same.
The session schedule will be provided before the commencement of the programme which
will include the timings of the live sessions (and the schedule to be followed for watching the
pre-recorded sessions, if any).
To view the live/recorded sessions, participants must have a stable internet connection on a
desktop or laptop with WebEx & Google Chrome browser.

Campus
Participants attending the programme on campus will be subject to Covid protocol as per
prevailing guidelines for educational institutes (as per notifications by government/civic
authorities)
Dates
January 17 – 20, 2023
The participants are requested to report by the evening of January16, 2023
Venue
NIBM Campus, Kondhwe Khurd
Pune, India
Accommodation
The programme is fully residential. Participants will be provided well-furnished single room
AC accommodation in the Institute's hostel complex on the campus. However, they will not
be permitted to bring their family members to stay on the campus. In case any Officer/
Executive with physical/ medical disability is being nominated, kindly inform us in advance
with particulars of disability to facilitate necessary arrangements. The Institute has facilities
for outdoor and indoor games and a large walking/ jogging trail for physical fitness besides a
yoga centre. Participants are therefore encouraged to bring appropriate clothes/ gear.
Completion Certificate
A completion certificate will be given to the participant at the end of the programme provided
he/she attends the programme for at least the total number of engagement hours specified.

Nominations and Enquiries

Nominations are invited from both institutions and individuals from India and abroad.
Executives working in banks/ financial institutions/ consulting firms/ technology firms
in the banking and financial services domain can also apply for the programme in their
individual capacity.
Please address your enquiries and nominations to:
Dr Kaushik Mukerjee
Dr Dipali Krishnakumar
Programme Directors
National Institute of Bank Management
NIBM Post Office, Kondhwe Khurd
Pune 411 048 (INDIA)
Tel. : 0091-20-26716000 (EPABX), 26716339/26716315 (Direct)
E-mail : [email protected]
[email protected];
Website : www.nibmindia.org
For nominations, please login using the following link:
https://erp.nibmindia.org/POApplication#/

Last Date for receiving nominations (Online): January 13, 2023

Last Date for receiving nominations (On Campus): January 7, 2023
Last date to avail Early Bird Discount: January 2, 2023

Online Programme Fee (per participant) for 25 hours programme

US $ 800 for foreign participant
Fee GST Fee+GST TDS
Member Banks : 33600 6048 39648 3360
Non-Member Banks : 39200 7056 46256 3920
Individual Nominee : 39200 7056 46256 ----

The fee includes the cost of tuition, access to reading material and recorded videos, etc.
(Central Goods and Services Tax (GST) @ 18%, and TDS @ 10%. Kindly send the TDS
Certificate on priority to NIBM).
Campus Programme Fee (per participant)
US $ 1600 for foreign participant
Fee GST Fee+GST TDS
Member Banks : 45000 8100 53100 4500
Non-Member Banks : 52500 9450 61950 5250
Individual Nominee : 52500 9450 61950 ----

The fee includes the cost of tuition, board and lodging facilities, teaching material,
etc. (Goods and Services Tax (GST) @ 18 % and TDS @ 10%. Kindly send the TDS
certificate on priority to NIBM).

Discounts
1. 5% “Early Bird” discount for nominations received at least 15 days prior to
commencement of programme.
2. Bulk nominations: the following discounts will be applicable :
(a) 6-10 nominations – 5% (b) 11-19 nominations – 10% and
(c) 20 and above – 15%

Mode of Payment for Indian Participants

m
The fee may preferably be transferred by RTGS/NEFT/ECS to our
A/c No. 20002400021 with Bank of Maharashtra, NIBM Branch, Pune
(IFSC Code MAHB0001124). NIBM PAN No. AAATN0040P and
GST No. 27AAATN0040P1ZJ.
m
National Institute of Bank Management
NIBM Post Office, Kondhwe Khurd, Pune 411 048, INDIA.
Mode of Payment for Foreign Participants

Mode of Remittance: SWIFT*

1. Name & Address of : Punjab National Bank
our Bankers C-2, Shop No. 4-5, Bramha Estate
Kondhwe Khurd, Pune 411 048
Maharashtra, India
2. Name of the Beneficiary : National Institute of Bank Management
3. NIBM's Bank Account No. : 11281131004402
with Punjab National Bank
4. Bank's Swift Code : PUNBINBBDIB * The Foreign Bank
5. Preferred Currency : USD Charges/ SWIFT
6. Correspondent Bank : WELLS FARGO BANK NA
charges/Commission
of Punjab National Bank is to be borne by the
7. Punjab National Bank A/c No.: 2000193007918
remitter. The fees
with Correspondent Bank mentioned in the
8. Swift Code : PNBPUS3NNYC
invoice/brochure is to
with Wells Fargo Bank be paid to NIBM, net
9. IFSC : PUNB0108810
of all bank charges.

*Payments will be accepted only through electronic mode.

Cheques/DDs/Pay Orders will not be accepted.
m
For all electronic remittances, kindly send a confirmatory e-mail at:
[email protected] giving details of the remitter and
participant, name and dates of programme, etc.
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