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Course Outline

Foundations of Compliance and Risk Management

  • Navigating Compliance and its associated risks
    • Key areas of focus
    • Stakeholder identification for Compliance Officers and Money Laundering Reporting Officers
    • Recognising and mitigating the risks of non-compliance

Establishing and Managing a Compliance Risk Framework

  • Adopting a risk-management approach
  • Assessing the positive and negative business impacts of implementing such an approach

Compliance and Corporate Governance

  • Defining Corporate Governance
  • The intersection of governance and Compliance
  • Identifying key stakeholders
  • Core principles of Corporate Governance
  • The role of Management Committees
  • Relevant Codes and Guidelines
  • Linking Corporate Governance to Financial Crime Prevention

Compliance Controls and Oversight

  • Understanding regulatory expectations
  • Developing a Compliance Monitoring Programme

Additional Financial Crime Considerations

  • A fresh perspective on Money Laundering and Terrorist Financing
  • 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 considerations
  • Implications of Brexit
  • Market Abuse and Insider Dealing
  • Sanctions

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

  • Motivations for targeting international businesses, offshore centres, and high-net-worth clients
  • Identifying major risks associated with these operations

Future Outlook

  • Current hotspots in Compliance and its Risk Management
 21 Hours

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Testimonials (2)

Provisional Upcoming Courses (Require 5+ participants)

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