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Financial Compliance

Course Information:

Online £1,750.00 12 hrsFlexible
In-House Agreed with client FlexiblePOA
London 5 days 7-Mar£3,500.00
London 5 days 14-Nov£3,500.00


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    LCT 2022 Brochure
    LCT 2022 Brochure

    Who should attend?

      Delegates who have some experience of auditing, either directly as an auditor or from within the financial services sector seeking to develop a professional and best practice approach to the development of the internal audit function in private and public sector organisations and enterprises.



    • Describe the expanded internal audit function
    • Promote the conduct of effective audits and reporting
    • Promote financial crime risk management in the organisation
    • Engage effectively with stakeholders
    • Ensure objectivity of the audit team
    • Implement enhanced internal audit structures


    Advanced AML Loadicator

    • What is “not” money laundering
    • What “is” money laundering
    • Offence 1: Concealment
    • Offence 2 Arrangements
    • Offence 3: Acquisition, use and possession
    • SAR Narrative Review – internal reporting
    • SAR lodging – external reporting

    Advanced ABC Loadicator

    • Tracing capital flight from developing countries
    • Sustainable development goals in practice
    • Illicit financial flows
    • UNCAC and beneficial ownership transparency
    • Beneficial ownership registries
    • Scanning and profiling legal entities and complex legal arrangements

    AML Tools

    • Tool 1: KYA (Know Your Assets)
    • Tool 2: KYB (Know Your Business)
    • Tool 3: KYC (Know Your Customer)
    • Tool 4: CDD (Customer Due Diligence)
    • Tool 5: EDD (Enhanced Due Diligence)
    • Tool 6: SDD (Simplified Due Diligence)

    Business Unit and Customer Profiling

    • Linking clients with transactions
    • How to regularly assess ML and TF risks: sources
    • Risk assessment and vulnerability of transactions
    • Fitting your FCC programme in the “holistic” risk-based approach – whose?
    • Evidenced-based decision making and targeting ML and TF risks faced by the host State and regional organisations
    • Transparency: internal standards and controls
    • SYSC: Single vs Several Operations – your suspicion matrix
    • Data Protection for businesses and the rise of the Data Protection Officer

    FCC Re-tooling

    • Risk assessments – why? which? and where from?
    • FATF, Basel AML Index and ESMA reloaded
    • Risk-based approach
    • Putting it all together in the SYSC context
    • Trade-based ML – misinvoicing and third-party risk management
    • Financial sanctions: EU, International, and U.S.
    • Proliferation financing

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