See other courses from Institute of Knowledge and Leadership
UAE, Dubai
Dates flexible (2 days)
Professional Training Course
Yes (Details)
English
Course Overview
The term compliance depicts the capacity to act as per the request, set of standards or requests. With regard to financial services organizations, compliance work is categorized under two levels.
- Level 1 - Compliance with external guidelines that are compulsory for organizations to follow.
- Level 2 - Compliance with interior frameworks of control that are obligatory to accomplish compliance with the externally imposed principles.
The course on International Compliance aims to equip the participants with the understanding, requirements and working of compliance by using state-of-the-art tools and techniques.
Who should take this course
Compliance representatives, workers that have been given or seek to be given compliance duties, workers with administration obligation regarding compliance workers and any individual who wishes to gain comprehension of essential administrative compliance standards and how organizations can consent to them.
Accreditation
IKL Certificate
Course content
Understanding the Regulatory Environment
- Why do we need regulation?
- Financial services regulation objectives
- Overview to regulation
- Regulatory timeline
- Protection of investor/consumer
International Regulation
- The roles of the regulator
- Different regulatory models around the world
- Overview of recent international regulation
- The influence of international bodies
Compliance in Practice
- Structure of compliance
- Compliance officer offer
- Process and activities of compliance
Managing the Risk of Proliferation Financing, Terrorist Financing and
Money Laundering
- How are the proceeds of crime laundered?
- Money laundering objectives and weaknesses of services and products
- Connection among the MLRO, MLPO and Compliance Officer
- Internal reporting system designing
- Money laundering/terrorist financing risk based approach
- Terrorist financing
- The USA Patriot Act and US extra territoriality
- Money laundering and tax evasion
Financial Crime Prevention
- What is fraud?
- Frauds perpetrated against ordinary investors
- Frauds against organizations
- Fraud prevention
- Corruption
- Market manipulation, insider dealing and market abuse
About Course Provider
Institute of Knowledge and Leadership (IKL) has emerged on the global map of learning, talent development and executive education as a highly advanced and qualified training platform. IKL is based in Dubai and serves prominent clients from across the MENASA region.
The distinctive factor about IKL is its significant, highly qualified and skilled pool of global trainers, primarily equipped with state of the art training methods and techniques coupled with the passion to share knowledge and to co - create a value proposition with organizations and their teams. IKL has trainers across the globe from 25 nationalities, over 200+ knowledge areas, and with a cumulative training, knowledge creation, sharing, and dissemination experience for over 1000+ years with over 2 million participants globally.