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Course Outline

Foundations of Compliance and Managing Compliance Risk

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

Developing and Overseeing a Compliance Risk Management Framework

  • Understanding the Risk-Management Approach
  • Assessing the positive and negative business impact of implementing a Risk-Management Approach

Compliance and Corporate Governance

  • Defining Corporate Governance
  • How it interacts with Compliance
  • Identifying Stakeholders
  • Core Corporate Governance principles
  • Management Committees
  • Codes and Guidelines
  • The role of Corporate Governance in preventing Financial Crime

Compliance Controls and Verification

  • Regulatory expectations
  • Establishing a Compliance Monitoring Programme

Additional Financial Crime Considerations

  • Money Laundering and Terrorist Financing – a fresh perspective
  • Fraud
  • 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 areas
  • The impact of Brexit
  • Market Abuse and Insider Dealing
  • Sanctions

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

  • Why financial criminals target International Business, Offshore Centres, and High-Net-Worth clients
  • Major risks associated with engaging in this type of business

The Future

  • Identifying current Compliance and Risk Management hotspots
 21 Hours

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