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Course Outline
Foundations of Compliance and Risk Management
- Grasping Compliance and its associated risks
- Identifying priority areas
- Recognizing stakeholders of Compliance Officers and Money Laundering Reporting Officers
- Mitigating the consequences of non-compliance
Building and Maintaining a Compliance Risk Framework
- Adopting a Risk-Management methodology
- Evaluating the positive and negative business impacts of implementing such an approach
Compliance and Corporate Governance
- Defining Corporate Governance
- Exploring its intersection with Compliance
- Identifying relevant stakeholders
- Core Corporate Governance principles
- The role of Management Committees
- Relevant Codes and Guidelines
- The link between Corporate Governance and Financial Crime Prevention
Compliance Controls and Verification
- Understanding Regulatory expectations
- Developing a Compliance Monitoring Program
Additional Financial Crime Considerations
- Revisiting Money Laundering and Terrorist Financing
- Fraud prevention
- Data Protection and Information Security
- Handling Personal and Sensitive Information
- Implementing Data Protection Policies
- Bribery and Corruption
- The UK Bribery Act 2010
- The USA Foreign & Corrupt Practices Act
- Other relevant regulatory areas
- Consequences of Brexit
- Market Abuse and Insider Trading
- Sanctions compliance
Financial Crime in Global Business, Offshore Centers, and High-Net-Worth Relations
- Why do financial criminals target international business, offshore centers, and high-net-worth clients?
- Key risks involved in managing these business segments
Future Outlook
- Current hotspots in Compliance and its Risk Management landscape…
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.