Đề cương khóa học

Institutional Module: Foundations of Due Diligence

  • Overview of due diligence frameworks in financial institutions
  • Governance structures, accountability, and reporting lines
  • Integration with risk management and internal control systems
  • Aligning due diligence with organizational strategy and compliance culture

Management Module: Leadership and Oversight

  • Board and executive responsibilities in compliance oversight
  • Establishing compliance committees and accountability mechanisms
  • Performance monitoring, escalation, and corrective action planning
  • Ethical leadership and decision-making frameworks

Marketing and Sales Module: Ethical Conduct and Client Transparency

  • Due diligence in client acquisition and marketing activities
  • Managing conflicts of interest and transparency in disclosures
  • Ensuring data protection and consent in customer communications
  • Monitoring sales practices for compliance and reputational risk

Technical Module: Operational and Data Due Diligence

  • Mapping data flows and identifying sensitive information
  • Evaluating system controls and cybersecurity posture
  • Integrating technology risk assessments into compliance reviews
  • Tools and automation for due diligence data collection and reporting

Financial Module: Financial Integrity and Risk Analysis

  • Assessing financial performance, solvency, and liquidity indicators
  • Evaluating counterparties and suppliers for financial stability
  • Financial crime prevention: AML, CFT, and sanctions screening
  • Fraud detection, internal audits, and red flag indicators

Legal and Regulatory Module: CRS, FATCA, and Global Compliance Obligations

  • Understanding the Common Reporting Standard (CRS) and FATCA requirements
  • Due diligence for tax residency, indicia search, and self-certifications
  • Key legal frameworks: OECD, MCAA, and domestic implementation
  • Managing penalties, remediation, and reporting obligations

Environmental, Health and Safety, and Business Integrity Module

  • ESG integration into due diligence practices
  • Health and safety compliance within financial and operational activities
  • Business integrity policies and anti-corruption measures
  • Reporting sustainability risks and compliance gaps

Information Technology Module: Data Governance and Security Compliance

  • IT governance frameworks and digital risk management
  • Data integrity, retention, and traceability standards
  • Regulatory compliance in digital transformation and AI adoption
  • Incident response, disaster recovery, and resilience planning

Integrative Module: Governance, Risk, and Audit Readiness

  • Consolidating due diligence findings across departments
  • Creating integrated compliance dashboards and reporting frameworks
  • Preparing for external audits and regulator inspections
  • Developing continuous improvement and training plans

Case Studies and Practical Exercises

  • Review and classification of sample client and vendor due diligence files
  • Simulating a multi-module risk assessment scenario
  • Developing a corrective action and monitoring plan

Summary and Next Steps

Yêu cầu

  • Understanding of financial compliance and risk management processes
  • Familiarity with basic tax, regulatory, or AML/KYC concepts
  • Experience in client onboarding or governance functions is helpful

Audience

  • Compliance and risk management officers
  • Legal and audit professionals
  • Operational, financial, and IT managers involved in due diligence processes
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