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Course Outline

Foundations of Compliance and Risk Management

  • Grasping Compliance and its associated risks
    • Identifying priority areas
    • Defining stakeholders for Compliance Officers and Money Laundering Reporting Officers
    • Recognizing and mitigating non-compliance risks

Building and Maintaining a Compliance Risk Framework

  • Adopting a Risk-Management methodology
  • Assessing the positive and negative business impacts of this approach

Compliance and Corporate Governance

  • Defining Corporate Governance
  • Examining its relationship with Compliance
  • Identifying key stakeholders
  • Core principles of Corporate Governance
  • The role of Management Committees
  • Establishing Codes and Guidelines
  • The intersection of Corporate Governance and Financial Crime Prevention

Compliance Controls and Monitoring

  • Understanding regulatory expectations
  • Developing a Compliance Monitoring Programme

Additional Financial Crime Perspectives

  • Money Laundering and Terrorist Financing – a new perspective
  • Fraud prevention
  • Data Protection and Information Security
    • Handling Personal and Sensitive Information
    • Implementing Data Protection Policies
  • Bribery and Corruption
    • The UK Bribery Act 2010
    • The USA Foreign & Corrupt Practices Act
    • Other relevant regulatory areas
  • Consequences of Brexit
  • Market Abuse and Insider Dealing
  • Sanctions compliance

Financial Crime in Global Business, Offshore Hubs, and HNW Clientele

  • Why financial criminals target international business, offshore centers, and high-net-worth clients
  • Identifying primary risks in these sectors

Future Outlook

  • Identifying current hotspots in Compliance and Risk Management
 21 Hours

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