Get in Touch
 Duration 21 hours

Course Outline

Foundations of Compliance and Risk Management

  • Grasping Compliance and its associated risks
    • Key focus areas
    • Stakeholders of Compliance Officers and Money Laundering Reporting Officers
    • Mitigating and understanding non-compliance risks

Establishing and Overseeing a Compliance Risk Management Framework

  • Adopting a Risk-Management strategy
  • The positive and negative business impacts of implementing a Risk-Management strategy

Compliance and Corporate Governance

  • The definition of Corporate Governance
  • The intersection of Corporate Governance and Compliance
  • Identifying Stakeholders
  • Principles of Corporate Governance
  • Management Committees
  • Relevant Codes and Guidelines
  • The role of Corporate Governance in preventing Financial Crime

Compliance Controls and Monitoring

  • Regulatory expectations
  • Developing a Compliance Monitoring Programme

Additional Financial Crime Considerations

  • A renewed perspective on Money Laundering and Terrorist Financing
  • Fraud prevention
  • Data Protection and Information Security
    • Handling Personal and Sensitive Information
    • Formulating Data Protection Policies
  • Bribery and Corruption
    • The UK Bribery Act 2010
    • The USA Foreign & Corrupt Practices Act
    • Other relevant considerations
  • The effects of Brexit
  • Market Abuse and Insider Dealing
  • Sanctions compliance

Financial Crime in International Business, Offshore Hubs, and High-Net-Worth Client Services

  • Why financial criminals target international business, offshore centers, and high-net-worth clients
  • Major risks involved in conducting such business activities

Future Perspectives

  • Current hotspots in Compliance and its Risk Management

Testimonials (2)

Related Categories