CBTP - Financial Crime Compliance Refresher

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About the Course

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Course curriculum

    1. Overview of Financial Crime

    2. Combating Financial Crime

    3. Money Laundering and AML Framework.

    4. Indicators of potential money laundering

    1. US Banking Secrecy Act

    2. USA Patriot Act

    3. Sanctions screening

    4. FinCEN Customer Due Diligence (CDD) Guidance

    5. Office of Foreign Assets Control (OFAC) Compliance.

    6. EU Anti-Money Laundering Directive

    7. Financial Action Task Force (FATF) and the Wolfsberg Group.

    8. FATCA

    1. Introduction to KYC

    2. Customer Identification Program (CIP) - Retail clients

    3. Customer Identification Program (CIP) - Business Customers

    4. Ultimate Beneficial Owner (UBO) identification

    5. Customer Due Diligence (CDD)

    6. Enhanced Due Diligence (EDD)

    7. Sanctions Screening Process

    8. Politically Exposed Person (PEP) check

    9. Post Account Opening Activities - Transaction Monitoring

    10. Transaction Monitoring - Sample rules to generate alerts

    11. Suspicious Activity Report (SAR) and Currency Transaction Report (CTR)

    12. Post Account Opening Activities - Ongoing Reviews, and Re-KYC

    1. Tax avoidance and Tax evasion

    2. Market manipulation

    3. Insider Trading

    4. Mortgage Fraud

    5. Identity Fraud

    1. World-Check and LexisNexis Risk Platform

    2. Fircosoft - Transaction monitoring and sanctions screening solution

    3. NICE Actimize IFM

    4. SAR, STR, CTR filing tools

About this course

  • $49.00
  • 33 lessons
  • 0 hours of video content