- Introduction
- Importance of Anti Money Laundering - AML internal controls
- Introduction to risk-based approach
- Risk-based approach main pillars
- Customer due diligence
- Enhanced due diligence (CDD)
- Simplified due diligence (CDD)
- Client information
- Compliance officer duties
- Operational risk management
- Risk management
- Risk management process
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CPDs: 5 COURSE OUTLINE
-
CPDs: 5 COURSE OUTLINE
- Introduction
- Inside information
- Insider trading
- Insider dealing & market manipulation
- Inside information – Obligations
- Inside information – Market sounding
- Provisions relating to issuers of financial instruments - Market manipulation
- Prevention and detection of market abuse
- Accepted market practices
- Administrative measures
- Cases
- How criminals manipulate crypto markets
- How blockchain work
- Sending money internationally
- Insurance
- Helping small businesses
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CPDs: 5 COURSE OUTLINE
- Introduction to Anti Money Laundering
- AML enforcement groups
- Importance of AML
- AML internal controls
- Firms obligations
- Money laundering cases
- Stages
- Due diligence
- Suspicious indicators associated with CDD
- How to spot money launderers
- Compliance officer duties
- Risk-based approach
- Terrorist property
- Tax evasion
- Cyber crime
- Acquisitive crime
- Wealth management
- Digital currencies
- Crowd funding
- Accountancy
- Legal services
- Trust or company formation
- Application form for investment instructions
- 5th AML Directive
- Prepaid cards, virtual currencies
- Information sharing
- Third party reliance
- Examples of suspicious transactions
- List of factors concerning the existence of highest risk and enhanced due diligence measures
- The fifth appendix
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CPDs: 5 COURSE OUTLINE
- Introduction
- Scope and Objectives of the Product Governance Procedures and Policies
- The Company as a manufacturer of financial instruments
- Target Market (in capacity of manufacturer)
- Conflict of interests
- The Company as a distributor of financial instruments
- Target Market (in capacity of distributor)
- Marketing material and Target Markets
- Monitoring responsibility on financial instruments and Client performance
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CPDs: 5 COURSE OUTLINE
- Managing risk
- Risk types
- Market risk
- Operational risk - Managing risk
- Liquidity risk
- Business risk
- Legal and compliance risk
- Risk register
- Stress testing
- The risk management process
- Types of operational risk
- Firm’s main operational risks
- Operational risk management basics
- Tools of OP risk Management
- The problem with operational risk
- Best practices in operational risk
- Operational risk management essentials - Process / Control analysis
- Integrated OP Risk Analysis
- Scenario Analysis
- Managing Operational Risk
- Main risk indicators
- Continuous supervision
- Insurance
- Helping small businesses
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CPDs: 5 COURSE OUTLINE
- Intro
- The role of Marketing Compliance Specialist
- Financial Promotion Competent Authorities in UK, US, Malta, Cyprus - Safeguarding of Client Funds
- Investor Compensation Schemes
- Strict Oversight and Supervision
- Code of Conduct and Strict Corporate Governance
- Best Execution Requirement
- Effective and Transparent Complaints Procedure
- Important Disclosures
- Protection for Inexperienced Investors
- Detailed Reporting to Clients
- Excellence of Service and Personnel
- Rules for Trading Platforms and IT Systems
- Session Summary
- Key Points
- Intro
- Financial Promotion Investment Advice
- Personal Recommendation
- When should advice NOT be given to clients?
- Conditions for information to be fair, clear and not misleading - Session Summary
- Key Points
- Intro
- Advertising Guidelines
- Practices that are NOT compliant with the law - Session Summary
- Key Points
- Intro
- Unfair Business-To-Consumer Commercial Practices - Misleading Commercial Practices
- Aggressive Commercial Practices
- Summary Session
- Key Points
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CPDs: 5 COURSE OUTLINE
- Intro
- Compliance Function
- Important Regulation authorities
- Basics of Compliance
- FATCA and Basel III regulation
- 5 key functions of compliance department
- Advantages of having the right compliance team
- Internal and External functions of compliance
- Compliance risk and factors for evaluating compliance risk
- Compliance specialists and their duties
- What does compliance cover?
- The role of the Compliance Department and the Head of Compliance - How should relations be managed by compliance function?
- Compliance Tools
- Ethics and Compliance
- Intro
- Compliance Risk Assessment
- Monitoring Obligations of the Compliance Function - Reporting Obligations of the Compliance Function - Advisory Obligations of the Compliance Function
- Session Summary
- Key Takeaway
- Intro
- Compliance Function’s Organizational Requirements
- Compliance Function’s Permanence
- Compliance Function’s Independence
- Combining the Compliance Function with other Internal Control Functions
- Session Summary
- Key Takeaway
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CPDs: 5 COURSE OUTLINE
- Country/Geographic risk
- Customer/Investor risk
- Product/Service/Transactions risk - Distribution channel risk
- Customer/Investor due diligence
- Electronic wire transfers requirements
- Suspicious transaction monitoring and reporting
- Internal controls and governance - Compliance controls
- Vetting and recruitment
- Training and awareness
- Product/Customer transactions suspicious activity indicators
- Distribution channel suspicious activity indicators
- Selected indicators of suspicious trading or market manipulation
- Suspicious indicators associated with CDD and interactions with customers
- Suspicious indicators in deposits of securities
- Movement of funds or securities
