You Are Currently Here:Home > Study Guides > The FATF Guidance – Securities Providers and Intermediaries

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

 

Category:

Description

KEY LEARNINGS

  1. Understanding the importance of the implementation of the RBA
  2. Understanding the role and responsibilities of securities providers and their supervisors.
  3. Understanding the suspicious activity indicators to mitigate ML/TF risks
Go to Top