The Compliance and MLRO Refresher Programme培训



The Compliance and MLRO Refresher Programme

Audience participation was good and involving

Munice Khan - MasterCard/DataCash



Course Code


期间 期间

7 小时 通常来说是1天,包括中间休息。

最低要求 最低要求

概览 概览

The Compliance and MLRO Refresher Programme examines the key risk management issues and topics that are of vital importance in today’s highly-regulated environment. As well as being targeted at Compliance Officers, MLROs, MLCOs and other risk management professionals it is also aimed at members of senior management and board members keen to know more about what to expect from the risk control functions within their organisations. The Programme is lectured by subject-matter-expert from the UK.

The key learning objective of the Programme is to equip attendees with sufficient knowledge to assess objectively the adequacy of their organisation’s existing risk management controls and practices and to make appropriate enhancements.

课程大纲 课程大纲

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

Guaranteed to run even with a single delegate!
公开课 公开课
从 ¥11330
私人定制课程 私人定制课程
从 ¥11330
私人远程定制课程 私人远程定制课程
从 ¥9730
自学课程 自学课程

The more delegates, the greater the savings per delegate. Table reflects price per delegate and is used for illustration purposes only, actual prices may differ.

Number of Delegates 公开课 私人定制课程 私人远程定制课程
1 ¥11330 ¥11330 ¥9730
2 ¥7740 ¥7590 ¥6790
3 ¥6543 ¥6343 ¥5810
4 ¥5945 ¥5720 ¥5320



课程 地址 日期 价格【远程/传统课堂】
Business Process Modelling in BPMN 2.0 深圳新世界中心 星期一, 2016-06-06 09:30 ¥25740 / ¥32910
Model MapReduce and Apache Hadoop 北京东直门银座 星期三, 2016-06-22 09:30 ¥17998 / ¥19998
Drupal Theming 北京东直门银座 星期四, 2016-12-29 18:00 ¥9385 / ¥10385

Upcoming Courses

香港中環中心星期一, 2016-06-13 09:30¥9730 / ¥15330
北京上地 硅谷亮城星期一, 2016-06-20 09:30¥9730 / ¥11930
北京朝阳区紫光发展大厦星期二, 2016-06-21 09:30¥9730 / ¥12130
上海六八八广场星期五, 2016-06-24 09:30¥9730 / ¥11330
苏州晋合广场星期五, 2016-06-24 09:30¥9730 / ¥11930