         The Compliance and MLRO Refresher Programme培训

Identifying and Evaluating Key Risks
Analysing the role of the Compliance Officer, the MLRO, the MLCO, Internal Audit and the Board
What makes an effective Compliance Officer?
Accountability of the Compliance Officer
Interdependencies with other control functions
Primary, secondary and on-demand compliance
The Compliance Officer’s Activities – and the support required
Designing and Implementing an Effective Compliance Framework including a Monitoring Programme
Analysing legal and regulatory rules
Identifying risks
Designing control and procedures
Generating management information
Creating an effective compliance culture
Monitoring
Compliance and Corporate Governance
Concepts in Corporate Governance and how these help manage risk
Whistle blowing
Role of the director
Creating an effective board
Differentiating the roles of the executive and non executive director
Creating and effectively utilising Corporate Governance committees e.g. Audit, Remuneration
Financial reporting and Corporate Governance
The Turnbull Report and effective risk management
The Latest Local and International Regulatory Issues Surrounding Compliance and Financial Crime Prevention
Issues in Compliance
Issues in Anti-Money Laundering (AML) and Combating Terrorist Financing (CTF)
Issues in Fraud
Issues in Identity Theft
Issues in Phishing
Managing the Risk of Money Laundering
Offshore Issues, PEPs and EPs
Know Your Client (KYC) and Identification & Verification (ID&V)
A Risk-Management Approach
Case studies
Other Regulatory Risks
Information Security and Data Protection
Market Abuse and Insider Dealing
Bribery and Corruption
Sanctions
…and other types and Risks in on-shore and off-shore Banking
Human Factors in Risk Management
Understanding the importance of human error in procedures-driven environments
Common human factor problems
Steep authority gradients
Reliance vacuums
Dominant individuals
Identifying and addressing human factor issues
Developing an effective compliance culture
Criminal Abuse of Private Banking Services, Trusts and Corporate Services companies
Offshore companies and corporate services analysed
Offshore trusts and trustee services analysed
The criticality of fiduciary duty
Understanding commercial rationale
AML trust and company vulnerabilities
Examples of abuse
Case studies