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