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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
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.