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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)
The trainer was helpful..
Attila - Lifial
Course - Compliance and the Management of Compliance Risk
I genuinely enjoyed the real examples of the trainer.