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Course Outline

Foundations of Compliance & Compliance Risk Management

  • Gaining a clear view of Compliance and its associated risks
    • Key focus areas
    • Stakeholders for Compliance Officers & Money Laundering Reporting Officers
    • Identifying and mitigating non-compliance risks

Establishing & Maintaining a Compliance Risk Management Framework

  • Adopting a Risk-Management mindset
  • Assessing the positive and negative business impacts of implementing a Risk-Management approach

Compliance & Corporate Governance

  • Defining Corporate Governance
  • The interplay between Governance and Compliance
  • Key Stakeholders
  • Core Corporate Governance principles
  • The role of Management Committees
  • Relevant Codes & Guidelines
  • Linking Corporate Governance to Financial Crime Prevention

Compliance Controls & Oversight Mechanisms

  • Aligning with Regulator expectations
  • Developing a Compliance Monitoring Programme

Additional Financial Crime Considerations

  • A fresh perspective on Money Laundering & Terrorist Financing
  • Fraud prevention
  • Data Protection & Information Security
    • Handling Personal & Sensitive Information
    • Implementing Data Protection Policies
  • Bribery & Corruption
    • UK Bribery Act 2010
    • USA Foreign & Corrupt Practices Act
    • Other relevant regulatory areas
  • Post-Brexit implications
  • Preventing Market Abuse & Insider Dealing
  • Sanctions compliance

Financial Crime in International Business, Offshore Hubs & High-Net-Worth Client Relationships

  • Why Financial Criminals target International Business, Offshore Hubs & High-Net-Worth clients
  • Key risks associated with managing these business lines

Looking Ahead

  • Current hotspots in Compliance & its Risk Management
 21 Hours

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