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 Duration 21 hours

Course Outline

Foundations of Compliance and Risk Management

  • Exploring Compliance and its associated risks
    • Identifying priority areas of focus
    • Determining stakeholders for Compliance Officers and Money Laundering Reporting Officers
    • Strategies for recognising and mitigating non-compliance risks

Developing and Overseeing a Compliance Risk Management Framework

  • Adopting a systematic Risk-Management Approach
  • Evaluating the positive and negative business impacts of implementing this approach

Compliance and Corporate Governance

  • Defining Corporate Governance
  • Analyzing its interaction with Compliance
  • Identifying relevant stakeholders
  • Core principles of Corporate Governance
  • The role of Management Committees
  • Reviewing relevant Codes and Guidelines
  • The link between Corporate Governance and Financial Crime Prevention

Compliance Controls and Verification

  • Understanding Regulatory expectations
  • Designing a robust Compliance Monitoring Programme

Additional Financial Crime Considerations

  • A fresh perspective on Money Laundering and Terrorist Financing
  • Fraud prevention
  • Data Protection and Information Security
    • Handling Personal and Sensitive Information
    • Implementing Data Protection Policies
  • Bribery and Corruption
    • The UK Bribery Act 2010
    • The USA Foreign & Corrupt Practices Act
    • Other key regulatory areas
  • Consequences of Brexit
  • Preventing Market Abuse and Insider Dealing
  • Sanctions compliance

Financial Crime in International Business, Offshore Centres, and High-Net-Worth Client Relationships

  • Understanding why financial criminals target International Business, Offshore Centres, and High-Net-Worth clients
  • Assessing the major risks inherent in conducting such business

Looking Ahead

  • Identifying current and emerging hotspots in Compliance and Risk Management

Testimonials (2)

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