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 Duration 21 hours

Course Outline

Fundamentals of Compliance and Compliance Risk Management

  • Grasping Compliance and its associated risks
    • Key areas of focus
    • Identifying stakeholders for Compliance Officers and Money Laundering Reporting Officers
    • Recognizing and mitigating non-compliance risks

Developing and Managing a Compliance Risk Management Framework

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

Compliance and Corporate Governance

  • Defining Corporate Governance
  • Examining its interaction with Compliance
  • Identifying key 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 new perspective
  • Fraud
  • Data Protection and Information Security
    • Personal and Sensitive Information
    • Data Protection Policies
  • Bribery and Corruption
    • UK Bribery Act 2010
    • USA Foreign & Corrupt Practices Act
    • Other relevant areas
  • Implications of Brexit
  • Market Abuse and Insider Dealing
  • Sanctions

Financial Crime in International Business, Offshore Centres, and High-Net-Worth Client Segments

  • Reasons why financial criminals target International Business, Offshore Centres, and High-Net-Worth clients
  • Major risks involved in managing this type of business

Future Outlook

  • Current hotspots in Compliance and its Risk Management

Number of participants


Price per participant

Testimonials (2)

Provisional Upcoming Courses (Require 5+ participants)

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