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 Duration 21 hours

Course Outline

The Essentials of Compliance and Compliance Risk Management

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

Building and Maintaining a Compliance Risk Management Framework

  • Applying a Risk-Management approach
  • The business impact of a Risk-Management approach, both positive and negative

Compliance and Corporate Governance

  • Defining Corporate Governance
  • The interaction between Corporate Governance and Compliance
  • Identifying Stakeholders
  • Core principles of Corporate Governance
  • The role of Management Committees
  • Relevant Codes and Guidelines
  • The link between Corporate Governance and Financial Crime Prevention

Compliance Controls and Verification Processes

  • Regulatory expectations
  • Establishing a Compliance Monitoring Programme

Additional Financial Crime Considerations

  • Money Laundering and Terrorist Financing – a renewed perspective
  • Fraud prevention
  • Data Protection and Information Security
    • Handling Personal and Sensitive Information
    • Developing Data Protection Policies
  • Bribery and Corruption
    • The UK Bribery Act 2010
    • The USA Foreign & Corrupt Practices Act
    • Other relevant regulatory areas
  • The impact of Brexit
  • Market Abuse and Insider Dealing
  • Sanctions compliance

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

  • Reasons why financial criminals target International Business, Offshore Centres, and High-Net-Worth clients
  • Key risks involved in operating in these sectors

The Future Outlook

  • Current and emerging hotspots in Compliance and Risk Management

Testimonials (2)

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