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Course Outline

The fundamentals of Compliance and the Management of Compliance Risk

  • Comprehending Compliance and its associated risks
    • Key areas of focus
    • Stakeholders for Compliance Officers and Money Laundering Reporting Officers
    • Understanding and mitigating the risks of non-compliance

Developing and Managing a Compliance Risk Management Framework

  • Understanding a Risk-Management Approach
  • The positive and negative impacts on the business of implementing a Risk-Management Approach

Compliance and Corporate Governance

  • Definition of Corporate Governance
  • Interaction between Corporate Governance and Compliance
  • Key stakeholders
  • Core principles of Corporate Governance
  • Management Committees
  • Codes and Guidelines
  • Corporate Governance and Financial Crime Prevention

Compliance Controls and Checks

  • Regulatory expectations
  • Developing a Compliance Monitoring Programme

Additional Financial Crime Considerations

  • Money Laundering and Terrorist Financing – a renewed perspective
  • Fraud
  • Data Protection and Information Security
    • Personal and Sensitive Information
    • Data Protection Policies
  • Bribery and Corruption
    • UK Bribery Act 2010
    • USA Foreign & Corrupt Practices Act
    • Other relevant considerations
  • Impact of Brexit
  • Market Abuse and Insider Dealing
  • Sanctions

Financial Crime in International Business, in Offshore Centres and with High-Net-Worth Clients

  • Rationale behind targeting International Business, Offshore Centres, and High-Net-Worth clients for financial crimes
  • Major risks associated with engaging in this business

The Future

  • Current hotspots in Compliance and its Risk Management...
 21 Hours

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