AML/CFT - Investment & Securities - 3 CPD units

Course Duration: 3 hours | CPD: 3 Units/hours 

Learning Outcome - Course include Case Studies and relevant examples

This course covers the risk based approach for AML/CFT in investment funds, due diligence, market abuse within the securities sector, with relevant legislations & regulations and International Guidelines.

• Money Laundering, Financing of Terrorism and Proliferation & Offenses
• Money Laundering in the Securities Sector
• Mauritius & International Regulations & Guidelines
• FIAMLA,FSC,IOSCO,BASEL,EU Derivatives, Wolfsburg Group, ESAAMLG
• Risk Based Approach 
• Due Diligence 
• Reliance on Intermediaries & 3rd Parties
• Role of Compliance Officer/MLRO
• Wire Transfers/ PEPS/Private Banking Accounts
• Ultimate Beneficial Owners
• Transaction monitoring/Screening
• Sanctions
• Suspicious Transactions Reporting
• Record Keeping Requirements
• Market abuse and Insider Trading 
• Case Studies and Q&A.

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 To register for the course, click here.

Credentials to access the course will be sent to you upon full payment only

All sections (including feedback) must be completed to obtain the certificate of attendance.

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Copyright © 2022, Keynes Training - Mauritius, all rights reserved.