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Course Outline

Foundations of Compliance and Risk Control

  • Navigating Compliance and its inherent risks
    • Identifying critical areas of focus
    • Determining the stakeholders of Compliance Officers and Money Laundering Reporting Officers
    • Mitigating risks arising from non-compliance

Developing and Overseeing a Compliance Risk Framework

  • Adopting a Risk-Management methodology
  • Evaluating the positive and negative business impacts of implementing a Risk-Management approach

Compliance within Corporate Governance

  • Defining Corporate Governance
  • Examining its relationship with Compliance
  • Identifying key Stakeholders
  • Core principles of Corporate Governance
  • The role of Management Committees
  • Relevant Codes and Guidelines
  • The intersection of Corporate Governance and Financial Crime Prevention

Compliance Monitoring and Verification

  • Understanding Regulatory expectations
  • Establishing a Compliance Monitoring Programme

Additional Financial Crime Considerations

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

Financial Crime in International Markets, Offshore Hubs, and High-Net-Worth Relationships

  • Reasons why financial criminals target International Business, Offshore Centres, and High-Net-Worth clients
  • Key risks associated with conducting business in these sectors

Future Perspectives

  • Current hotspots in Compliance and its Risk Management
 21 Hours

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