workshop compliance financieel advies
TRANSCRIPT
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Compliance programma
Dag van topadvies
21 juni 2017
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Over mij
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Ten slotte
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Dialoog
Wat is compliance
Andere aanpak
Concrete agenda
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Kamp A
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Kamp A
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Kamp b
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Kamp A
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Maturity model
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Aanpak
1. Zelf doen. 2. Tijd en aandacht geven
3. Het oude loslaten. 4. Geloven en volhouden
5. Samen. 6. Focus. 7. Kijk vooruit
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Zelftest ‘loslaten’
Blijf je hangen of kom je vooruit? in het verleden blijven hangen ?
zorgen maken over de toekomst ?
negatief praten over/in/met jezelf ?
behoefte om indruk te maken op anderen ?
klagen ?
behoefte om gelijk te krijgen ?
weerstand tegen verandering ?
anderen de schuld geven ?
behoefte aan goedkeuring van anderen ?
Hoe vaker ja, hoe meer belemmering om
vooruit te komen
vooruit kijken
optimistisch
positief zelfbeeld
bescheiden
complimenteren
fouten toegeven
innoveren
zelfreflectie
eigen passie
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Concreet
• Wat staat er op jouw compliance agenda in 2017?
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Compliance
• Productgovernance
– Doelgroep
– Inkoop van producten
• Bescherming van data
– …
– …
• Klantcommunicatie
TO GO
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Wetgeving
• Imd/prips
• Privacy verordening
• Mifid2
• Evaluaties (wft, provisisieverbod, vakbekwaamheid)
• Wijzigingswet
• AFM
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Trends in compliance
• Mensgericht ipv organisatiegericht
• Waarde-gedreven ipv rulesdriven
• Sterke focus op klantbelang
• Gaat over gedrag!
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Maturity model