Internal Audit and Compliance

• Organisational structure of a credit institution according to the Securities Supervision Act (WAG) and partly the Austrian Banking Act (BWG) • Responsibilities of Compliance, Risk Management functions in accordance with the Securities Supervision Act, Internal Audit, Bank Audit and Money Laundering / Terrorist Financing • Structure(s) and tasks of international and national supervision • Standard Compliance Code • Rules of conduct according to the Securities Supervision Act (WAG) • Internal control systems • Excursus: Depot Act

Mode of delivery

face to face

Type

compulsory

Recommended or required reading and other learning resources/tools

Securities Supervision Act, SCC (Standard Compliance Code), selected FMA (financial supervision) circulars

Planned learning activities and teaching methods

Lecture

Assessment methods and criteria

Written exam

Prerequisites and co-requisites

None

Infos

Degree programme

Banking and Finance (engl.)

Cycle

Bachelor

ECTS Credits

3.00

Language of instruction

English

Curriculum

Full-Time

Academic year

2021

Semester

5 WS

Incoming

No

Learning outcome

After successful completion of the course, students can • explain the tasks of the internal audit and a bank audit • understand and describe problems in connection with compliance and risk management (according to the Securities Supervision Act, WAG) as well as money-laundering issues

Course code

1229-19-01-VZ-EN-44