The International Capital Market Association (ICMA) is pleased to support the FINRA and ICMA Centre training course for capital markets and compliance professionals:

Financial Crime
The 2009 course was held in April, 2010 dates TBA.

 

 
 
 


This course covers anti-money laundering, suspicious activities and transactions, market abuse, operational risk and data security. Case studies guide participants through the relative responsibilities of the compliance, internal audit and risk functions and discuss the impact of principles-based regulation on the overall control framework.

Timetable
 

Topics Covered

• Background to legislative and regulatory developments
• Financial Crime: Implementing a holistic risk-based approach
• Customer Due Diligence and Monitoring
• Suspicious Transactions and Suspicious Activity Reporting
• Bribery and Corruption
• Operational Risk vs. Compliance vs. Audit
• Data Security and Fraud
• Crisis management in a criminal context
• Case Studies

Learning Objectives

On completion of this course, delegates should have an understanding of:

• the role of the Money Laundering Reporting Officer;
• best practices for implementing anti-money laundering systems, and controls to mitigate fraud and data security risks;
• how Compliance can work together with the Internal Audit and Risk functions to more efficiently combat financial crime; and
• the issues to be considered in the context of your firm or an employee at your firm being the subject of a criminal investigation in a financial crime context.

Confirmed Speakers

Brian Dilley, Partner, European Head of AML Services, KPMG Forensic
David Skade,  MLRO and Head of Financial Security, Calyon
James Gillan,  Director, Group Compliance UK, WestLB
Joe Brownlee, Money Laundering Reporting Officer, HSBC Bank Plc
Lisa Osofsky,  Financial Services Advisor, Control Risks
Emma Badman,  Deouty Head of Global Wholesale Compliance, ING Bank
Sara George,  Senior Associate, Allen and Overy
Alexandra Maddy,  Senior Consultant, Control Risks 
David Alexander,  Director of Forensic Services, Smith and Williamson