FI22
Course Contents
Module 1: Ethics, Professional Conduct and Treasury Decisions
Key Topics
- Role of ethics in treasury conduct and professional judgement
- Integrity, objectivity, competence, and confidentiality
- Ethical dilemmas in funding, investment, and risk decisions
- Conflicts of interest, gifts, and personal dealing controls
- Speaking up, whistleblowing, and protection from retaliation
- Ethical decision-making models for treasury professionals
- Building a culture of accountability and responsible conduct
Module 2: Treasury Governance, Policies and Accountability
Key Topics
- Treasury mandate, policy framework, and delegated authorities
- Board, executive, and treasury committee responsibilities
- Risk appetite, limits, and escalation requirements
- Segregation of duties across dealing, confirmation, and settlement
- Three lines model and independent assurance functions
- Governance of banks, counterparties, and external providers
- Management information, transparency, and board reporting
Module 3: Regulation and Financial Crime Compliance
Key Topics
- Regulatory landscape affecting treasury operations
- Compliance obligations for funding, markets, and payments
- Anti-money laundering and counter-terrorist financing controls
- Sanctions screening and restricted-party risk management
- Anti-bribery, corruption, and market conduct requirements
- Data protection, records retention, and regulatory reporting
- Monitoring legal and regulatory change across jurisdictions
Module 4: Treasury Controls, Technology and Operational Resilience
Key Topics
- Treasury controls for cash, payments, and bank accounts
- Deal approval, confirmation, settlement, and reconciliation controls
- Counterparty, liquidity, and market risk control frameworks
- Fraud prevention, cyber risk, and payment security
- Technology governance, access rights, and system controls
- Incident management, control breaches, and root cause analysis
- Business continuity and treasury crisis response
Module 5: Assurance, Breach Management and Ethical Leadership
Key Topics
- Compliance monitoring, testing, and internal audit coordination
- Managing exceptions, breaches, and corrective actions
- Ethical leadership and conduct risk indicators
- Investigations, evidence, confidentiality, and fair treatment
- Regulatory engagement and response to supervisory findings
- Treasury governance reviews and continuous improvement
- Case study: resolving a complex treasury ethics issue
