Course Outline

The Basics of Compliance and the Management of Compliance Risk for Government

  • Understanding Compliance and the Risks Associated with It
    • Key Areas of Focus
    • Stakeholders for Compliance Officers and Money Laundering Reporting Officers
    • Identifying and Mitigating the Risks of Non-Compliance

Creating and Managing a Compliance Risk Management Framework

  • Understanding a Risk-Management Approach for Government
  • The Impact on the Organization – Positive and Negative – of Implementing a Risk-Management Approach

Compliance and Corporate Governance

  • Definition of Corporate Governance
  • Interaction Between Corporate Governance and Compliance
  • Key Stakeholders in Corporate Governance
  • Principles of Corporate Governance for Government
  • Management Committees and Their Roles
  • Codes and Guidelines for Best Practices
  • Corporate Governance and the Prevention of Financial Crime

Compliance Controls and Checks

  • Regulatory Expectations for Government
  • Developing a Comprehensive Compliance Monitoring Program

Other Financial Crime Considerations

  • Revisiting Money Laundering and Terrorist Financing
  • Fraud Prevention Strategies
  • Data Protection and Information Security for Government
    • Managing Personal and Sensitive Information
    • Implementing Robust Data Protection Policies
  • Addressing Bribery and Corruption
    • UK Bribery Act 2010
    • USA Foreign Corrupt Practices Act
    • Other Areas for Consideration in Government
  • Impact of Brexit on Compliance and Risk Management
  • Market Abuse and Insider Dealing Prevention
  • Sanctions Compliance for Government

Financial Crime in International Business, Offshore Centers, and with High-Net-Worth Clients

  • Why Do Financial Criminals Target International Business, Offshore Centers, and High-Net-Worth Clients?
  • Major Risks in Engaging in This Type of Business for Government

The Future of Compliance and Risk Management

  • Identifying Current Hotspots in Compliance and Risk Management for Government
 21 Hours

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