European Institute of Management and Finance | Financial Crime Risks in the Investment Sector/Capital Markets
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Financial Crime Risks in the Investment Sector/Capital Markets


The EIMF Live Online Learning Experience


EIMF subject-matter experts deliver engaging and interactive courses across a broad spectrum of areas, that can be enjoyed in the comfort of your own chosen environment. Read more



Course Overview


Regulators have recognised the potential risks of illicit actors to misuse investment-related products and services through both internal fraud and laundering the proceeds of crime.


This course will consider the financial crime(FC) risks related to investment/capital markets. It will examine how those risks arise and the “red flags” that may detect their presence.


Using recent case studies, participants will review the tactics adopted by illicit actors to conceal their identity, activities and source of funds, with a focus on the use of legal entities and complex business arrangements across different jurisdictions.


The course is intended to compliment other courses that may provide in-depth training (ACAMS or ICA) and contribute to the fulfilment of ongoing CPD obligations.



Training Objectives


By the end of the programme, participants will be able to:

  • Comprehend the types of FC risks to which their business may be exposed
  • Raise awareness about the tactics employed to launder the proceeds of crime using investment related products and services
  • Assess the reliability of controls to detect and prevent FC risks related to capital market activities
  • Formulate a strategy to raise awareness across your organisation about the FC risks reviewed



Training Outline


The live programme comprises two 2.- hour sessions offering 5 hours in total of instruction, incorporating interactive question and answer points throughout.

Day One

  • Introduction – Scope of FC in the investment/capital markets sectors
  • Regulatory Landscape – AML and Market Abuse
    • European AML Requirements
    • Stock Exchange Requirements
    • Sanction restrictions
    • Tax Requirements – FATCA and CRS
  • Internal FC Risks: Market Abuse, insider trading and fraud
  • Operational challenges – mitigating internal FC risks
    • Transaction monitoring
    • Product complexity
    • Product ownership verification
    • Mirror trading
    • Omnibus accounts
  • Virtual Group Exercise Session
  • Closing Observations


Day Two

  • Introduction and Recap of Day 1
  • External FC Risks: FC crime in the investment/capital markets sectors
    • Asset Management
    • Fund Administration
    • Brokerage
    • Capital market products
  • Operational challenges – mitigating internal FC risks
    • Lack of visibility of underlying customers and firms’ interdependence
    • Third party reliance for CDD and related information
    • Valuation of non-list assets and securities
    • Source of wealth and assets
    • Investment in assets inconsistent with intended fund’s objectives
  • Virtual Group Exercise Session
  • Closing Observations



Training Style


The programme is designed to deliver knowledge and enhance participants’ skills via short lectures, case-studies and practical examples. Participants will also benefit from feedback at the end of the programme and take away the knowledge gained to be transferred to their workplace. The live online method of presentation will allow for interaction with the trainer in real time and allow for questions to be posed by participants during the sessions.



CPD Recognition


This programme may be approved for up to 5 CPD units in AML and Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.


Professionals requiring CPD units to meet the education requirements for CySEC licence renewal, and/or for maintaining other professional memberships/certifications which accept CPD in AML and Financial Regulation, are advised to consider training subjects in categories that indicate CPD training in AML and CPD training in Financial Regulation.


The Association of Anti-Money Laundering Specialists (ACAMS) has confirmed that this programme is accredited for 5 CAMS Credits. Participation in this course does not substitute the requirement to earn (12) ACAMS credits through ACAMS produced training for CAMS recertification.



Who Should Attend


The programme is ideal for:

  • Front line staff responsible for customer onboarding
  • Members of anti-FC compliance teams
  • Managers and supervisors of anti-FC compliance teams
  • MLROs and Compliance Officers
  • Members of transaction monitoring and investigation teams
  • Chartered and accredited accountants
  • In-house legal counsel / solicitors
  • Internal Auditors responsible for FC audits
  • External Auditors, solicitors and professional consultants