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Course Outline
Fundamentals of Compliance and the Management of Compliance Risk
- Comprehending Compliance and its associated risks
- Identifying critical areas of focus
- Stakeholders involved for Compliance Officers and Money Laundering Reporting Officers
- Understanding and mitigating non-compliance risks
Developing and Managing a Compliance Risk Management Framework
- Grasping the Risk-Management methodology
- Analyzing the positive and negative impacts of implementing a Risk-Management Approach on the business
Compliance and Corporate Governance
- Defining Corporate Governance
- Exploring its interaction with Compliance
- Identifying key Stakeholders
- Core principles of Corporate Governance
- Functioning of Management Committees
- Relevant Codes and Guidelines
- The link between Corporate Governance and Financial Crime Prevention
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
- Impact of Brexit
- Market Abuse and Insider Dealing
- Sanctions
Financial Crime in International Business, Offshore Centres, and with High-Net-Worth Clients
- Reasons financial criminals target International Business, Offshore Centres, and High-Net-Worth clients
- Major risks associated with this type of business
Future Outlook
- Current hotspots in Compliance and Risk Management…?
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.