21 hours (usually 3 days including breaks)
All staff who need a working knowledge of Compliance and the Management of Risk
Format of the course
A combination of:
- Facilitated Discussions
- Slide Presentations
- Case Studies
By the end of this course, delegates will be able to:
- Understand the major facets of Compliance and the national and international efforts being made to manage the risk related to it
- Define the ways in which a company and its staff might set up a Compliance Risk Management Framework
- Detail the roles of Compliance Officer and Money Laundering Reporting Officer and how they should be integrated into a business
- Understand some other “hot spots” in Financial Crime – especially as they relate to International Business, Offshore Centres and High-Net-Worth Clients
The basics of Compliance and the Management of Compliance Risk
Understanding Compliance and the Risk associated with it
- What are important areas in 2012?
- Who are the Compliance Officers’ and Money Laundering Reporting Officers’ Stakeholders?
- Understanding and mitigating the risks of non-compliance
Creating and Managing a Compliance Risk Management Framework
- Understanding a Risk-Management Approach
- The impact on the business – positively and negatively – of creating a Risk-Management Approach
Compliance and Corporate Governance
- What is Corporate Governance?
- How does it interact with Compliance?
- Who are the Stakeholders?
- Corporate Governance principles
- Management Committees
- Codes and Guidelines
- Corporate Governance and Financial Crime Prevention
Compliance Controls and Checks
- What do the Regulators expect?
- Creating a Compliance Monitoring Programme
Other Financial Crime considerations
- Money Laundering and Terrorist Financing – a fresh look
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 areas for consideration
- Market Abuse and Insider Dealing
Financial Crime in International Business, in Offshore Centres and with High-Net-Worth Clients
- Why do financial criminals target International Business, Offshore Centres and High-Net-
- Worth clients?
- What are the major risks in undertaking this business?
- Where are today’s Compliance and its Risk Management hotspots…?
I genuinely enjoyed the real examples of the trainer.