The Compliance and MLRO Refresher Programme培训



Audience participation was good and involving

Munice Khan - MasterCard/DataCash

It was very good training, good pace, very comprehensive. 

Excellent course content, delivered very well. Actually enjoyed the training and was a very good brush up of knowledge.

Trainer, Richard was very good

Lisa Johansen - PAYS Services UK Limited

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
私人远程定制课程 私人远程定制课程
从 ¥9730

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 私人远程定制课程
1 ¥11330 ¥9730
2 ¥7740 ¥6790
3 ¥6543 ¥5810
4 ¥5945 ¥5320



地址日期价格【远程 / 传统课堂】
北京 - 侨福芳草地星期四, 2017-02-02 09:30¥9730 / ¥11930
香港 - 中環中心星期五, 2017-02-03 09:30¥9730 / ¥15330
Beijing Pacific Century Place星期一, 2017-02-06 09:30¥9730 / ¥12130
BeiJing DongZhiMen YinZuo (Ginza)星期四, 2017-02-09 09:30¥9730 / ¥11330
上海 - 上海中区广场星期四, 2017-02-16 09:30¥9730 / ¥12920


课程 地址 日期 价格【远程 / 传统课堂】
Wikipedia for Editors 苏州 - 晋合广场 星期三, 2017-03-22 09:30 ¥14625 / ¥16825
Service Oriented Analysis and Design 深圳 - 新世界中心 星期二, 2017-04-04 09:30 ¥24075 / ¥31245
Strategic Management 上海 - 上海中区广场 星期三, 2017-05-24 09:30 ¥24129 / ¥31299