Training Objectives

Participants of the programme, will be able to:

• Draft an investigation protocol
• Coordinate an investigation
• Advise the management on preventive and disciplinary measures

Training Outline

Theory

• Investigation protocol
• The various roles of the various people involved
• Protecting the reporter
• Confidentiality and anonymity
• Triage / initial assessment
• Fact-finding
• Investigation methods
• Selecting the right investigators
• Key principles for fair investigations
• Managing the investigation
• Communicating with all the parties involved
• Preventive and disciplinary measures
• Incentives / promoting a good speak-up

Practice

• Practice with one or more case studies

Who Should Attend

This course can be followed by professionals both inside and outside of the financial service industry, and will particularly benefit:

• Compliance and Ethics Managers and Officer
• Integrity Coordinators
• The impartial people who are appointed to follow up on whistleblowing reports
• Members of an (ethics) committee that reviews whistle-blower reports, e.g. Compliance, HR, Legal, Audit
• Internal Auditors who also conduct internal investigations
• External investigations
• Service providers to the compliance community

Note that this course is aimed at people who coordinate an investigation. It is not focused on how to do an investigation.

Training Style 

The programme is designed to deliver knowledge and enhance participants’ skills, through an interactive approach that includes presentations, questions and answers, discussions, best practices and case studies.

CPD Recognition

This programme may be approved for up to 3 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

This training course may be approved as an external activity under the  new  ACAMS  recertification  category  ”non-ACAMS credits” for up to 3 CPD units. Eligibility criteria and CPD Units are verified directly by the Association of Anti-Money Laundering Specialists (ACAMS). To read more about the non-ACAMS credits policies and eligibility criteria please click here. 

In-house Training

For groups within the same organisation, this course may be customized to meet any specific needs and delivered in-house.