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Guide 2023 05 31T010120 724

BOARD EXAMINATION SUMMARY GUIDE Note A more detailed examination guide will be made available to candidates who have successfully applied and registered for the Board Exam This guide is a summary only of the more detailed guide INTRODUCTION Candidates who wish to be awarded the Compliance Practitioner CPrac designation will have to satisfy certain criteria of knowledge practical skills and work experience Board Examination I tests a candidate ? s knowledge and ability regarding the practice of compliance risk management STRUCTURE OF THE EXAM The exam consists of parts that are written in the same sitting The exam is structured as follows Part I Description Tests the knowledge that a compliance practitioner should have Question type Multiple Choice questions Estimated mark allocation Estimated time allocation hours Part II Tests the practical skills that a compliance practitioner should be able to apply Total Open ended ? case studies ? hour hours STUDY MATERIAL The exam is largely based on compliance knowledge and work experience The following sources were used Generally Accepted Compliance Practice GACP - principles standards and guidelines version January Code of Ethical and Professional Conduct The GACP is obtainable from the Members area on the Institute ? s website if you do not have a copy Please contact the Institute if you experience any problems C Legislative Process in South Africa documents of pages are provided to candidates once they have successfully registered COMPETENCY FRAMEWORK The exam is based on the following competency framework i e candidates will be expected to have the following knowledge and demonstrate practical skills Part I - Multiple Choice Questions MCQ Knowledge Competencies KC KC Understand governance as a core principal of compliance KC Understand the compliance policy statement KC Understand the responsibility of management in respect of the compliance policy KC Understand how a compliance function should be established KC Understand how to determine the status of a compliance function KC Understand the need for independence of the compliance function KC Understand the roles and responsibilities of the compliance function KC Understand how the role of the head of compliance should be assigned KC Understand the ?t and proper requirements of a compliance professional KC Understand the need for adequate resources of the compliance function KC Understand how compliance professionals should be appointed and terminated KC Understand the compliance culture of the enterprise KC Understand outsourcing of the compliance function KC Understand the need for a regular independent review of the compliance function KC Understand materiality as a core principle of compliance KC Understand the CI Code of Ethical and Professional conduct KC Understand the key de ?nitions underlying generally accepted compliance practice Part II ?? Open ended Questions Case studies CPart I - Multiple Choice Questions MCQ Knowledge Competencies KC Practical Skills competencies PS PS Understand the compliance risk management process PS Understand how to analyse regulatory requirements PS Understand how to perform enterprise-wide risk management PS Understand how to perform compliance monitoring PS Understand how to perform compliance reporting PS Understand