CAIIB – ABM

CAIIB ABM – December 2026

Inside CAIIB – ABM

CAIIB ABM – December 2026

Module Module

Module D

Module D covers Compliance in Banks and Corporate Governance, including compliance functions and policies, compliance audits, governance structures, internal controls, identification of compliance risks, compliance culture, governance-risk-compliance frameworks, the role of Chief Compliance Officers in banks and NBFCs, fraud prevention, and vigilance. Learners will strengthen their regulatory and governance knowledge through structured lessons, practical banking examples, case studies, revision notes, quizzes, and exam-oriented assessments aligned with the CAIIB ABM syllabus.

38 Folders

Inside this module

Explore Topics

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38 Folders
01
Topic Compliance Function in Banks

Purpose, Importance and Scope of the Compliance Function

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0 Assets Open Topic: Purpose, Importance and Scope of the Compliance Function
02
Topic Compliance Function in Banks

Compliance Policy: Objectives, Ownership and Essential Components

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0 Assets Open Topic: Compliance Policy: Objectives, Ownership and Essential Components
03
Topic Compliance Function in Banks

Compliance Principles, Processes and Procedures

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0 Assets Open Topic: Compliance Principles, Processes and Procedures
04
Topic Compliance Function in Banks

Compliance Programme, Independence and Bank-Wide Coverage

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0 Assets Open Topic: Compliance Programme, Independence and Bank-Wide Coverage
05
Topic Compliance Function in Banks

Chief Compliance Officer: Role, Responsibilities and Reporting Lines

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0 Assets Open Topic: Chief Compliance Officer: Role, Responsibilities and Reporting Lines
06
Topic Compliance Audit

Compliance-Audit Purpose, Scope and Methodology

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0 Assets Open Topic: Compliance-Audit Purpose, Scope and Methodology
07
Topic Compliance Audit

Risk-Based Internal Audit, Inspection and Compliance Linkage

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0 Assets Open Topic: Risk-Based Internal Audit, Inspection and Compliance Linkage
08
Topic Compliance Audit

Compliance Reporting, Monitoring and Remediation Tracking

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0 Assets Open Topic: Compliance Reporting, Monitoring and Remediation Tracking
09
Topic Compliance Audit

Disclosure Requirements and Accounting-Standard Compliance

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0 Assets Open Topic: Disclosure Requirements and Accounting-Standard Compliance
10
Topic Compliance Audit

SEBI Listing-Regulation Disclosure Cases

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0 Assets Open Topic: SEBI Listing-Regulation Disclosure Cases
11
Topic Compliance Governance Structure

Compliance Governance and Organisational Structure

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0 Assets Open Topic: Compliance Governance and Organisational Structure
12
Topic Compliance Governance Structure

Responsibilities of the Board and Senior Management

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0 Assets Open Topic: Responsibilities of the Board and Senior Management
13
Topic Compliance Governance Structure

Compliance Structure at the Corporate Office

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0 Assets Open Topic: Compliance Structure at the Corporate Office
14
Topic Compliance Governance Structure

Compliance Responsibilities of Functional Departments and Field Offices

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0 Assets Open Topic: Compliance Responsibilities of Functional Departments and Field Offices
15
Topic Compliance Governance Structure

Internal Controls: Importance, Design and Operating Effectiveness

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0 Assets Open Topic: Internal Controls: Importance, Design and Operating Effectiveness
16
Topic Framework for Identification of Compliance Issues and Compliance Risks

Compliance Issues versus Compliance Risk

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0 Assets Open Topic: Compliance Issues versus Compliance Risk
17
Topic Framework for Identification of Compliance Issues and Compliance Risks

Inherent Risk, Control Risk and Residual-Risk Interpretation

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0 Assets Open Topic: Inherent Risk, Control Risk and Residual-Risk Interpretation
18
Topic Framework for Identification of Compliance Issues and Compliance Risks

Compliance-Risk Identification, Assessment and Prioritisation

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0 Assets Open Topic: Compliance-Risk Identification, Assessment and Prioritisation
19
Topic Framework for Identification of Compliance Issues and Compliance Risks

Independent Testing and Effective Compliance-Audit Programme

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0 Assets Open Topic: Independent Testing and Effective Compliance-Audit Programme
20
Topic Framework for Identification of Compliance Issues and Compliance Risks

Compliance-Risk Reporting, Monitoring and Escalation

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0 Assets Open Topic: Compliance-Risk Reporting, Monitoring and Escalation
21
Topic Framework for Identification of Compliance Issues and Compliance Risks

Inspection, Audit, Loan Review, Credit Audit and Good Compliance

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0 Assets Open Topic: Inspection, Audit, Loan Review, Credit Audit and Good Compliance
22
Topic Compliance Culture and GRC Framework

Creating a Bank-Wide Compliance Culture

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0 Assets Open Topic: Creating a Bank-Wide Compliance Culture
23
Topic Compliance Culture and GRC Framework

Governance, Risk and Compliance Framework and Components

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0 Assets Open Topic: Governance, Risk and Compliance Framework and Components
24
Topic Compliance Culture and GRC Framework

Benefits and Challenges of an Integrated GRC Approach

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0 Assets Open Topic: Benefits and Challenges of an Integrated GRC Approach
25
Topic Compliance Culture and GRC Framework

Whistle-Blower Policy, Components and Protection Mechanisms

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0 Assets Open Topic: Whistle-Blower Policy, Components and Protection Mechanisms
26
Topic Compliance Culture and GRC Framework

Reasons for Compliance Failures and Remedial Cases

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0 Assets Open Topic: Reasons for Compliance Failures and Remedial Cases
27
Topic Compliance Function and Role of Chief Compliance Officer in NBFCs

Scale-Based Regulation for NBFCs and Regulatory Layers

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0 Assets Open Topic: Scale-Based Regulation for NBFCs and Regulatory Layers
28
Topic Compliance Function and Role of Chief Compliance Officer in NBFCs

Transition Path under the Scale-Based Regulatory Framework

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0 Assets Open Topic: Transition Path under the Scale-Based Regulatory Framework
29
Topic Compliance Function and Role of Chief Compliance Officer in NBFCs

Compliance Framework and CCO Role in NBFC-UL and NBFC-ML

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0 Assets Open Topic: Compliance Framework and CCO Role in NBFC-UL and NBFC-ML
30
Topic Compliance Function and Role of Chief Compliance Officer in NBFCs

NBFC Compliance-Governance and CCO Decision Cases

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0 Assets Open Topic: NBFC Compliance-Governance and CCO Decision Cases
31
Topic Fraud and Vigilance in Banks

Fraud versus Forgery: Definitions and Distinguishing Features

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0 Assets Open Topic: Fraud versus Forgery: Definitions and Distinguishing Features
32
Topic Fraud and Vigilance in Banks

Major Areas and Classification of Frauds in Banks

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0 Assets Open Topic: Major Areas and Classification of Frauds in Banks
33
Topic Fraud and Vigilance in Banks

Banking-Fraud Methods, Warning Signals and Preventive Controls

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0 Assets Open Topic: Banking-Fraud Methods, Warning Signals and Preventive Controls
34
Topic Fraud and Vigilance in Banks

Cyber-Fraud Types, Attack Scenarios and Control Measures

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0 Assets Open Topic: Cyber-Fraud Types, Attack Scenarios and Control Measures
35
Topic Fraud and Vigilance in Banks

Fraud Reporting and Monitoring System

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0 Assets Open Topic: Fraud Reporting and Monitoring System
36
Topic Fraud and Vigilance in Banks

Vigilance Function, Preventive Vigilance and Accountability

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0 Assets Open Topic: Vigilance Function, Preventive Vigilance and Accountability
37
Topic Fraud and Vigilance in Banks

RBI Fraud and Vigilance Guidelines for Private-Sector and Foreign Banks

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0 Assets Open Topic: RBI Fraud and Vigilance Guidelines for Private-Sector and Foreign Banks
38
Topic Fraud and Vigilance in Banks

Integrated Fraud-Detection, Reporting and Vigilance Cases

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0 Assets Open Topic: Integrated Fraud-Detection, Reporting and Vigilance Cases