Countering Money Laundering: Compliance, Investigation ......•˚Compliance-dominant legislation...

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Countering Money Laundering: Compliance, Investigation & Management Module 1: Money Laundering TRAINER PRICE Tuesday 10th March 2020 Module 2: Legal & Compliance Tuesday 17th March 2020 Module 3: Detection & Investigation Tuesday 24th March 2020 Module 4: Management & Governance Wednesday 1st April 2020 Ian Ross €300 for each module €1200 for all modules CASTILLE LEARNING

Transcript of Countering Money Laundering: Compliance, Investigation ......•˚Compliance-dominant legislation...

Countering Money Laundering: Compliance, Investigation

& ManagementModule 1: Money Laundering

TRAINERPRICE

Tuesday 10th March 2020Module 2: Legal & Compliance Tuesday 17th March 2020

Module 3: Detection & Investigation Tuesday 24th March 2020Module 4: Management & Governance Wednesday 1st April 2020

Ian Ross€300 for each module€1200 for all modules

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OVERVIEWThe counter-money laundering profession has a distinct need fororganisations to provide precision support internally and tostakeholders, to ensure indubitable (AML) compliance management,and possess a sound investigation and AML reporting capability. Therefore, this new, incisively prepared certificated AML programdraws together a range of key issues and skill-sets in an engagingand productive format.

This course is essential for finance professionals, regulators, auditors,investigators, intelligence officers, compliance officers, and operations’ managers. Completion of the program will:

• Provide new investigation skills• Provide you with new economic crime risk appraisal skills• Skills and practice in critical areas of reporting, and decision making• Developing excellence in strategic economic crime prevention management

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Benefits of Attending

The program has 4 modules, each with a one-day delivery session running onesession per week over a month-long program. Each module is assessed by a shortmulti-choice test. Participants can attend / select from any of the four modules butwe strongly advise completing all modules.

The course takes a thorough and practical delivery approach.

We will use presentations, skills, interactive group activities, multi-directionaldiscussions and case studies. Pre-course reading items will be issued to allregistered participants.

Course Structure / Training Methods

MODULES

Precision explanations, definitions and advanced concepts. Key underpinning ‘funding’ crimes, impacts, reading ML patterns.Overlaps with terrorism funding.

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Module 1: Money LaunderingTuesday 10th March 2020

Understanding the applicable law and how to appraise it.Advancing skills in KYC and CDD. Removing the problems around‘STRs’ and ‘DAML’ SARs.

Module 2: Legal & ComplianceTuesday 17th March 2020

Critical skills in AML intelligence work.Investigation itself; the ‘journey’ from information to evidence.Investigations’ management and resourcing.

Module 3: Detection & Investigation:Tuesday 24th March 2020

Risk management, AML risk assessment.Regulatory supervision and addressing critical (compliance) issues.Interfacing with applicable institutions.

Module 4: Management & GovernanceWednesday 1st April 2020

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Module 1: Money LaunderingTuesday 10th March 2020

COURSE SCHEDULE

08:30 - 09:00 Welcome Coffee & Registration

09:00 - 09:30 Money Laundering:Brief origins to Current Schemes & Varying Methods

09:30 - 10:45 Money Laundering & Organised Crime

• What is ‘organised’ crime?• Common predicate crimes underpinning money laundering• The ‘criminal journey’ – from crime to money laundering and its varying criminal results

11:00 - 12:00 Money Laundering - Terrorist Funding

• Distinctions and Differences• The patterns of terrorism funding

13:30 - 15:00 Money laundering & Finance

• Financial Institutions• Micro finance• The space of sophisticated investment• Insurance

10:45 - 11:00 Break

12:00 - 12:30 Review Session

12:30 – 13:30 Lunch

15:00 – 15:15 Break

15:15 – 16:00 Money Laundering: Impacts & Measurement

16:15 – 17:00 Review and Assessment

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Module 2: Legal & ComplianceTuesday 17th March 2020

COURSE SCHEDULE

08:30 - 09:00 Welcome Coffee & Registration

09:00 - 10:00 Money Laundering: The complete Legislation Overview• Applicable legal institutions and authorities

10:00 - 10:45 Money Laundering, the ‘scheme’ & Purpose of the law

• Compliance-dominant legislation• Regulatory• Substantive (prohibitory) AML law• Second-tier AML legislation• Asset seizure• Proceeds of Crime Acts and powers

11:00 – 11:20 Terrorist Funding Legislation

• Distinctions and Differences• Financial processes and CTF red flags

• Key legal skills for non-lawyers• STR’s • ‘Suspicion’ – ‘red flags’ and reporting• MLROs

• Civil or criminal?• Jurisdiction and cross-border issues

10:45 - 11:00 Break

15:00 - 15:15 Break

15:15 - 16:00 How the law affects AML policy

16:15 - 17:00 Review & Assessment

11:20 - 12:30

12:30 – 13:30 Lunch

13:30 – 15:00 Case Study

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Module 3: Detection & InvestigationTuesday 24th March 2020

COURSE SCHEDULE

08:30 - 09:00 Welcome Coffee & Registration

09:00 - 10:00 Money Laundering & Intelligence:The lifeblood of AML efficiency

• Using a range of AML intelligence skills & analytical models

10:00 - 10:45 AML investigation. ‘No Money, No Laundering’

• Sources and benchmarks• Avoiding stereotyping, bias, assumption, and otherinvestigation pitfalls • Linking the predicate crime with the money laundering

11:00 – 12:00 Handling & Appraising Evidence

• Filtering out evidence from information• Handling single cases• Handling complex cases• Ensuring the ‘chain of custody’

• Compliance Advice• Protocols • Resourcing• Case Management

11:00 – 12:00 • Reporting investigations outcomes (not STRs)

Working with an involved money laundering scenario

10:45 - 11:00 Break

12:30 - 13:00 Lunch

13:30 - 15:00 Case Study

15:15 – 16:00 Managing Investigations

16:15 – 17:00 Review & Assessment

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Module 4: Management & GovernanceTuesday 24th March 2020

COURSE SCHEDULE

08:30 - 09:00 Welcome Coffee & Registration

10:45 - 11:00 Break

12:00 - 12:30 Review Session

12:30 – 13:30 Lunch

09:00 - 10:00 Money Laundering & Risk Management• Core concepts• Risk versus ‘trends and patterns’• Distinguishing terrorism funding and AML risk parameters• Effective research sources

10:00 - 10.45 AML Risk Assessment. A special focus!

• Planning and scoping an AML risk assessment• Is terrorism funding an inherent risk for your organisation?• AML and CTF risk assessment tools• Methods of measurement

11:00 – 12:00 AML Auditing plans

• Combining the needful business and crime prevention approach!• Scoping• Supervising the ‘suspicion versus ‘professional skepticism’ issue• AML audit operations (including ‘right to audit’ clauses)

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13:30 - 15:00 Compliance

15:00 - 15:15 Break

15:15 - 16:00 Sanctions Awareness

16:45 - 17:00 Review & Assessment

• The regulatory interface• Precision focus on reporting requirements and management• Strategic Governance; receiving the right information• International compliance issues (monitoring and ‘greylisting’)

• Red flags of sanctions avoidance• Reporting measures• Distinctions between money laundering reporting and sanctions breaches

About the Trainer

Ian Ross - PhD (des) MSc, ACFS, FCMI, PGCE

Financial Crime Risk Specialist & Training

Publications & Books

Accredited Counter Fraud Specialist (ACFS)• ‘Listed expert’: Cour pénale international (The International Court of Justice (The Hague)• Fellow: Chartered Management Institute (FCMI)• Trainer: ‘ACAMS’

Exposing Fraud: ‘Skills, Process and Practicalities’ (2015)CC1. ‘The Investigations’ Toolkit’ (2018)‘Overcoming Narcissism and Heuristics.Investigative interviewing of Corporate Fraudsters (2019)

Ian Ross has 30 years’ experience in the investigation and preventionof financial crime, and compliance management. A former UK policeofficer, law lecturer, Head of Training and Development in the UKsecurity industry, now established in key international commercialsectors. Supporting regulators, main industries, national banks,multi-national corporate entities, and international lawenforcement.

A world class investigator and strategic advisor regarding fraud, corruption and money laundering, with an international reputationof handling complex cases at all levels, in involved legal contexts anda range of situations.

A highly sought-after global trainer, specializing in investigation skills,compliance, and anti-fraud, corruption and money launderingpolicies and process.

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Module 1: Money Laundering

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Module 4: Management & Governance

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