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Duration 21 hours
Course Outline
Fundamentals of Compliance and Compliance Risk Administration
- Comprehending Compliance and its associated Risks
- Key areas of focus
- Stakeholders of Compliance Officers and Money Laundering Reporting Officers
- Recognizing and mitigating risks related to non-compliance
Establishing and Operating a Compliance Risk Management Framework
- Adopting a Risk-Management methodology
- The dual impact on the business–both positive and negative–of implementing a Risk-Management approach
Compliance and Corporate Governance
- The definition of Corporate Governance
- The interplay between Governance and Compliance
- Identification of Stakeholders
- Core principles of Corporate Governance
- Management Committees
- Regulatory Codes and Guidelines
- The role of Corporate Governance in preventing Financial Crime
Compliance Controls and Verification Processes
- Regulatory expectations
- Designing a Compliance Monitoring Programme
Additional Financial Crime Considerations
- A revised perspective on Money Laundering and Terrorist Financing
- Fraud prevention
- Data Protection and Information Security
- Handling Personal and Sensitive Information
- Data Protection Policies
- Bribery and Corruption
- UK Bribery Act 2010
- USA Foreign & Corrupt Practices Act
- Additional relevant jurisdictions and regulations
- Consequences of Brexit
- Market Abuse and Insider Dealing
- Sanctions compliance
Financial Crime in International Business, Offshore Hubs, and High-Net-Worth Clientele
- Motivations for targeting International Business, Offshore Hubs, and High-Net-Worth clients
- Primary risks involved in conducting such business
Future Outlook
- Current hotspots in Compliance and Risk Management
Testimonials (2)
The trainer was helpful..
Attila - Lifial
Course - Compliance and the Management of Compliance Risk
I genuinely enjoyed the real examples of the trainer.