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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
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.