Get in Touch
 Duration 21 hours

Course Outline

Foundations of Compliance and Compliance Risk Oversight

  • Grasping Compliance and its associated risks
    • Key focus areas
    • Stakeholders for Compliance Officers and Money Laundering Reporting Officers
    • Mitigating the consequences of non-compliance

Establishing and Steering a Compliance Risk Management Framework

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

Compliance and Corporate Governance

  • Defining Corporate Governance
  • The interplay between Governance and Compliance
  • Identifying key Stakeholders
  • Core Corporate Governance principles
  • The role of Management Committees
  • Internal Codes and Guidelines
  • Corporate Governance in preventing Financial Crime

Compliance Monitoring and Verification

  • Regulatory expectations
  • Developing a Compliance Monitoring Programme

Additional Financial Crime Considerations

  • A new perspective on Money Laundering and Terrorist Financing
  • Fraud prevention
  • Data Security and Information Protection
    • Handling Personal and Sensitive Data
    • Data Protection Policies
  • Anti-Bribery and Anti-Corruption
    • The UK Bribery Act 2010
    • The USA Foreign & Corrupt Practices Act
    • Additional areas of regulatory interest
  • Consequences of Brexit
  • Market Manipulation and Insider Trading
  • International Sanctions

Financial Crime in Global Business, Offshore Jurisdictions, and High-Net-Worth Clientele

  • Motivations for targeting International Business, Offshore Centres, and affluent clients
  • Primary risks associated with these business activities

Future Outlook

  • Current hotspots in Compliance and Risk Management

Number of participants


Price per participant

Testimonials (2)

Upcoming Courses

Related Categories