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    A Practical Approach to Risk-Based Compliance

    €95.00
    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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    AML Risk-Based Approach and KYC

    €90.00
    CPDs: 5 COURSE OUTLINE
    • 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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    Financial Promotion and Marketing Compliance

    €95.00
    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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    Insider Dealing and Market Manipulation

    €90.00
    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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    Introduction to AML.TF 4th and 5th Directive

    €90.00
    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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    Product Governance and Leverage Policies & Procedures

    €90.00
    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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    Risk in Investment Services Firms & Operational Risk Management

    €90.00
    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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    The FATF Guidance – Securities Providers and Intermediaries

    €95.00
    CPDs: 5 COURSE OUTLINE

    1. Country/Geographic risk
    2. Customer/Investor risk
    3. 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
     

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