In-House Training:
AML/CFT Risks and Regulatory Expectations for Investment Firms
Practical AML training designed for investment firm professionals, covering regulatory developments, sanctions, market abuse, customer risk, transaction monitoring, and emerging financial crime risks affecting investment services.
Duration:
6 hours
Who is this for:
Compliance professionals | AML officers | MLROs | Risk professionals |
Senior management | Board members | Professionals involved in financial crime risk management and governance
Outline:
1. Understanding Money Laundering and Financial Crime Risks in Investment Firms
2. The New EU AML Package and Regulatory Expectations for Investment Firms
3. Sanctions Compliance and Exposure in Investment Services
4. Applying the Risk-Based Approach in Investment Firms
5. Customer Due Diligence, Source of Wealth, and High-Risk Clients
6. Suspicious Activity Reporting and Escalation Processes
7. Fraud Risks, Transaction Monitoring, and Control Challenges
8. Market Abuse, Insider Dealing, and Financial Crime Indicators
9. Governance, AML Oversight, and Regulatory Expectations
10. Emerging Risks and the Future of AML in Investment Services
Delivery format:
Live Online / On-site