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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.
The live programme comprises a 2.5 hour session in total of instruction, incorporating interactive question and answer points throughout and illustrated key learning points with real case examples.
- Introduction – Scope of FC in the investment/capital markets sectors
- Internal FC Risks:
- Market Abuse
- Insider trading
- Operational challenges – mitigating internal FC risks
- External FC Risks: FC crime in the investment/capital markets sectors
- Asset Management
- Fund Administration
- Capital market products
- Operational challenges – mitigating external FC risks
- Virtual Group Exercise Session
- Closing Observations
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.
This programme may be approved for up to 2.5 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.
The Association of Anti-Money Laundering Specialists (ACAMS) has confirmed that this programme is accredited for 2 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