Get in Touch

Course Outline

Foundations of Compliance and Risk Management

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

Establishing and Managing a Compliance Risk Framework

  • Adopting a Risk-Management Approach
  • The positive and negative business impact of implementing a Risk-Management Approach

Compliance and Corporate Governance

  • Defining Corporate Governance
  • The interaction between Governance and Compliance
  • Identifying Stakeholders
  • Core principles of Corporate Governance
  • Management Committees
  • Codes and Guidelines
  • Corporate Governance in preventing Financial Crime

Compliance Controls and Checks

  • Regulatory expectations
  • Designing a Compliance Monitoring Programme

Other Financial Crime Considerations

  • Money Laundering and Terrorist Financing – a fresh 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 areas for consideration
  • Impact of Brexit
  • Market Abuse and Insider Dealing
  • Sanctions

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

  • Why financial criminals target International Business, Offshore Centres, and High-Net-Worth clients?
  • Key risks associated with conducting such business

The Future

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

Testimonials (2)

Upcoming Courses

Related Categories