AML and KYC Guidelines for CIFs and Fund Management Firms
- Χρηματοοικ. Ασφαλιστικά Τραπεζικά - Νομοθεσία, Νομική & Δικηγόροι
Αγγλικά
5 ώρες
(
1 ημέρα
)
ΠΕΡΙΓΡΑΦΗ
Setting up onboarding procedures for investment firms
The European Institute of Management and Finance is organising a 4th AML linked course that will analyse the set standards and disciplines emanating from the regulatory and legislative framework in Cyprus pertaining to the Anti Money Laundering. Explanation of Joint Guidelines under Articles 17 and 18(4) of Directive (EU) 2015/849 on simplified and enhanced customer due diligence and the factors credit and financial institutions should consider when assessing the money laundering and terrorist financing risk associated with individual business relationships and occasional transactions as provided by ESAS at 4thJanuary 2018.
Also, explanation of Joint Guidelines on the characteristics of a risk-based approach to anti-money laundering and terrorist financing supervision, and the steps to be taken when conducting supervision on a risk-sensitive basis as provided by ESAS at 13th April 2017.
ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ
- Understand what is money laundering, the three stages
- Due diligence, simplified, enhanced
- Introduction of the concept of the Risk Based Approach
- Enhanced beneficial ownership requirement; Adapting CDD models and record-keeping
- Changes in the treatment of Politically Exposed Persons (PEPs) – Ensuring compliance models and best practices
- Changes in policies and procedures
- Changes in the penalties regime
- Changes in the cash payments
- Risk assessments that includes cross-border threats to domestic markets
ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ
- Compliance, AML Compliance officers, Back officers of CIFs
- Funds and Fund Managers,
- Consultancy providers catering towards the financial services sector
ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ
Training Outline
The link between Anti‐Money Laundering requirements and your audit procedures
- What you need to know in your role as AMLCO and Backofficer
- What you need to do in practical terms
- Know‐Your‐Client procedures; an integral part of your Client Acceptance process
- The basic client identification requirements
- Emphasis on the Risk‐Based approach; what are the requirements?
- Further insight into the risk evaluation process (the risk matrix implementation) and its benefits
- Timing of Client identification and due diligence procedures
Impact of assessed Money‐Laundering / Terrorist Financing risk on your client due diligence procedures
- Simplified due diligence procedures
- Enhanced due diligence procedures
Trainer
Alex Kartalis
Since 2013 Alexios Kartalis has been the General Manager of GMM Global Money Managers Ltd, a mutual funds (UCITS) and alternative investments (AIF) management company. Prior to his appointment to GMM, Alexios was the General Manager of BNP Paribas Securities Services in Athens for 9 years where he previously served as Head of Operations for 6 years. Alexios also worked in the Securities Department for Citibank Athens. Having a 24+ years of industry practice, Alexios frequently delivers business trainings in the subjects of AML, CRS & FATCA, Fund Administration and Custody. Furthermore, he has also been an academic instructor of Finance for the New York College. Alexios received his European MBA in Finance from ESCEM School of Business Management, his Bachelor’s degree in Statistics from Athens University of Economics and Business and is certified as a Hellenic Exchanges Derivatives Clearer, Advanced Licence holder from CySEC and an HRDA trainer.
Αναλυτικό Κόστος Σεμιναρίου
- € 180.00
- € 0.00
- € 34.20
- € 180.00
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ
Δευτέρα - 03 Οκτ 2022
Ώρα
16:30 - 19:15
ΕΚΠΑΙΔΕΥΤΗΣ:
Αλέξιος Καρτάλης
Τοποθεσία:
OnLine Virtual Classroom
Τετάρτη - 05 Οκτ 2022
Ώρα
16:30 - 19:15
ΕΚΠΑΙΔΕΥΤΗΣ:
Αλέξιος Καρτάλης
Τοποθεσία:
OnLine Virtual Classroom
Εκδήλωση Ενδιαφέροντος : AML and KYC Guidelines for CIFs and Fund Management Firms
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Effective Whistleblowers’ Protection: A ‘Must’ For Ensuring Your Organ...
Wrongdoing, and in particular that which takes place in the corporate environment, is often committed in secret for a long time, during which time, non-involved...
13/12/2022 10:00
5 ώρες (1 ημέρα)
Αγγλικά
Live Online
Anti-Money Laundering (AML) Regulation and Updates...
Flows of illicit money can damage the igtntegrity, stability and reputation of the financial sector, and threaten the internal market of the Union as well as in...
13/12/2022 16:30
5 ώρες (2 μέρες)
Αγγλικά
Live Online
Anti-Money Laundering Framework: Assessing and Managing AML Risk...
The Anti-money laundering framework applicable in the EU has been in the form of several EU Directives, constantly being updated and in this way an extensive an...
14/12/2022 09:00
5 ώρες (1 ημέρα)
Αγγλικά
EIMF (Λευκωσία)
Artificial Intelligence Fundamentals and the Disruption in the Financi...
The concept of Artificial Intelligence is no longer considered as a fictional, futuristic idea. It has been given a very important role within the current socie...
19/12/2022 09:00
7 ώρες (2 μέρες)
Αγγλικά
Live Online
Governance, Risk Management and Compliance (4 CPD Units)...
The self-based online training programme provides the participants with a broad range of areas addressed in a Governance, Risk and Compliance (GRC) model. Parti...
31/01/2023 08:18
Αγγλικά
eLearning
Ethics and Compliance...
DescriptionThis course will help you to increase your personal ethics and explore your obligations to act with integrity in all aspects of your work and profess...
31/01/2023 08:18
Αγγλικά
eLearning
AIF and AIFM...
DescriptionThis course offers a comprehensive introduction to Alternative Investment Funds (AIF) and to Alternative Investment Fund Managers (AIFM) It addresses...
31/01/2023 08:18
Αγγλικά
eLearning
Ethics, Integrity and Fairness in Financial Services...
Firms and individuals operating in the sector must be conscious and mindful of these standards and expectations and consider both whether they are satisfying th...
31/01/2023 08:18
Αγγλικά
eLearning
Certified Blockchain Business Foundations (CBBF) with Exam Voucher...
Description This course will cover the syllabus of BTA's Certified Blockchain Business Foundations (CBBF) examination. The Certified Blockchain Business Foundat...
31/01/2023 08:18
Αγγλικά
eLearning
Anti-Money Laundering and Terrorism Financing Fundamentals...
DescriptionThis course offers a basic overview of the Money Laundering and Terrorism Financing. It addresses the macroeconomic consequences of unchecked money l...
31/01/2023 08:18
Αγγλικά
eLearning
AAT – Credit Management...
The AAT is the UK’s leading Accountancy body offering entry level qualifications. The AAT is open to all, regardless of age or experience there is a place that ...
31/01/2023 08:18
Αγγλικά
eLearning
Insider Dealing and Market Manipulation...
DescriptionThis course will provide a comprehensive introduction to the Market Abuse Regulation's definitions on insider information and inside dealing. It will...
31/01/2023 08:18
Αγγλικά
eLearning
Market Abuse Regulation Overview...
This course offers a condensed review of Market Abuse Regulation (MAR). It addresses the characteristics of market abuse and the impact on firms and individuals...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 10 CPD Bundle 1...
Description This CPD bundle includes the following modules: • Anti-Money Laundering and Terrorism Financing Fundamentals • Fundamentals of Risk Management • MiF...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 10 CPD Bundle 3...
Description This CPD bundle includes the following modules: • European Market Infrastructure Regulation (EMIR) Overview • Practical Aspects of the Compliance Fu...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 10 CPD Bundle 4...
Description This CPD bundle includes the following modules: • Financial Promotion and Marketing Compliance • Treating Customers Fairly and Handling Complaints i...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 10 CPD Bundle 5...
DescriptionThis CPD bundle includes the following modules: • Treating Customers Fairly and Handling Complaints in the Financial Services Sector • Market Abuse R...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 10 CPD Bundle 6...
Description This CPD bundle includes the following modules: • Insider Dealing and Market Manipulation • Anti-Bribery and Anti-Corruption Training Duration This ...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 10 CPD Bundle 7...
Description This CPD bundle includes the following modules: • AIF and AIFM • Anti-Money Laundering and Terrorism Financing Fundamentals • Market Abuse Regulatio...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 10 CPD Bundle 8...
Description This CPD bundle includes the following modules: • Anti-Bribery and Anti-Corruption • Treating Customers Fairly and Handling Complaints in the Financ...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 15 CPD Bundle 1...
Description This CPD bundle includes the following modules: • Markets in Financial Instruments Directive (MiFID II) • European Market Infrastructure Regulation ...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 15 CPD Bundle 4...
Description This CPD bundle includes the following modules: • Market Abuse and Regulation • Anti-Bribery and Anti-Corruption Training Duration This course may t...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 15 CPD Bundle 5...
Description This CPD bundle includes the following modules: • Practical Aspects of the Compliance Function • Financial Promotion and Marketing Compliance • Trea...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 15 CPD Bundle 6...
Description This CPD bundle includes the following modules: • Insider Dealing and Market Manipulation • European Market Infrastructure Regulation (EMIR) Overvie...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 15 CPD Bundle 7...
Description This CPD bundle includes the following modules: • Practical Aspects of the Compliance Function • Anti-Money Laundering and Terrorism Financing Funda...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 15 CPD Bundle 8...
Description This CPD bundle includes the following modules: • ICAAP - Internal Capital Adequacy Assessment Process • The Fund Industry: Latest Regulatory Framew...
31/01/2023 08:18
Αγγλικά
eLearning
Ethereum Developer...
Description This course on Ethereum developers is designed for programmers and developers who want to take a comprehensive deep dive in writing smart contracts ...
31/01/2023 08:18
Αγγλικά
eLearning
EKK (CySEC) Ερωτήσεις Προετοιμασίας Βασικής Εξέτασης...
Περιγραφή Τρεις (3) Εξετάσεις Ποετοιμασίας για τη Βασική Εξέταση της Επιτροπής Κεφαλαιαγοράς Κύπρου (ΕΚΚ) στα Ελληνικά.. ...
31/01/2023 08:18
Ελληνικά
eLearning
Market Abuse and Regulation...
DescriptionThis course will provide a comprehensive review of Market Abuse and the respective regulatory environment. It will cover inside information and insid...
31/01/2023 08:18
Αγγλικά
eLearning
UCITS - Undertakings for Collective Investments in Transferable Securi...
DescriptionThis course offers a comprehensive introduction to the Undertakings for Collective Investments in Transferable Securities (UCITS). It addresses the n...
31/01/2023 08:18
Αγγλικά
eLearning
Fundamentals of Risk Management...
DescriptionThis course offers a condensed review of risk management, with a specific focus on operational, credit and market risks. The course also covers risk ...
31/01/2023 08:18
Αγγλικά
eLearning
Fundamentals of Investment and Finance...
DescriptionThis course offers a general review of the financial services sector, with a specific focus on investments from a global perspective. The focus of th...
31/01/2023 08:18
Αγγλικά
eLearning
AIFM - Alternative Investment Fund Managers...
DescriptionThis course offers a comprehensive introduction to the Alternative Investment Fund Managers (AIFM). It addresses the application of the AIFM Law, the...
31/01/2023 08:18
Αγγλικά
eLearning
Sales Compliance and Techniques for Investment Firms (5 CPD Units)...
DESCRIPTIONThis course aims, is to assist professionals in investment firms, in particularly those whose primary function is within the Sales, customer retentio...
31/01/2023 08:18
Αγγλικά
eLearning
CASS iLecture...
CASS iLecture by Vivienne BanniganThis is a 90 minutes interactive iLecture on the In’s and Out’s of the CASS Resolution Pack.BackgroundSince 2010 the Financial...
31/01/2023 08:18
Αγγλικά
eLearning
Anti-Money Laundering and Counter Terrorist Finance...
Τhis course provides staff with an understanding of the process of money laundering, the laws and regulations that make it illegal, and the responsibilities of ...
31/01/2023 08:18
Αγγλικά
eLearning
MiFIR iLecture...
MiFIR Transaction Reporting iLecture by Vivienne BanniganAn interactive 90-minute on-demand MiFIR workshop.BackgroundAccurate and complete MiFIR Transaction Rep...
31/01/2023 08:18
Αγγλικά
eLearning
Approved Persons Regime...
Approved Persons Regime awareness course for all members of firms NOT subject to the Senior Managers & Certification Regime (SM&CR) which came into effect on 7 ...
31/01/2023 08:18
Αγγλικά
eLearning
Best Execution...
The FCA rules relating to Best Execution cover all ‘financial instruments’. Firms must establish and implement a Best Execution Policy, setting out details of h...
31/01/2023 08:18
Αγγλικά
eLearning
CASS Introduction...
CA short online e-learning primer aimed as an introductory overview for those encountering Client Money and Client Assets for the first time, and for those work...
31/01/2023 08:18
Αγγλικά
eLearning
Certificate in Compliance...
Every organization faces a myriad of risks that can threaten its operations, reputation, and bottom line. A robust, effective compliance program can make the di...
31/01/2023 08:18
Αγγλικά
eLearning
Certificate in KYC and CDD...
KYC/CDD is a critical element for effectively managing the risks posed by potential clients (thus protecting the organization against criminals, terrorists, and...
31/01/2023 08:18
Αγγλικά
eLearning
Certified Ethical Hacker...
A Certified Ethical Hacker (CEH) is a skilled professional who understands and knows how to look for weaknesses and vulnerabilities in target systems and uses t...
31/01/2023 08:18
Αγγλικά
eLearning
Compliance Introduction...
Compliance involves the efforts and programs of an organization to ensure that the business complies with government and industry regulations. If your organizat...
31/01/2023 08:18
Αγγλικά
eLearning
Corporate Governance for Financial Institutions...
The concept/term Corporate Governance has featured regularly in discussions, both within the professional and academic community, since the 1990s and has become...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 10 CPD Bundle 2...
Description This CPD bundle includes the following modules: • ICAAP - Internal Capital Adequacy Assessment Process • Fundamentals of Risk Management • Anti-Mone...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC AML Certification Examination Practice and Mock Exams...
DescriptionA set of 4 full Mock & Revision Exams in English for the latest CySEC AML Certification Examination Syllabus....
31/01/2023 08:18
Αγγλικά
eLearning
CySEC AML Certification Examination Practice and Mock Exams...
A set of 5 full Mock & Revision Exams in English for the latest CySEC AML Certification Examination Syllabus.Registration and AccessTo register to this course, ...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 15 CPD Bundle 2...
Description This CPD bundle includes the following modules: • AIF, AIFM and UCITS • Anti-Bribery and Anti-Corruption Training Duration This course may take up t...
31/01/2023 08:18
Αγγλικά
eLearning
Practical Aspects of the Compliance Function...
DescriptionThis course offers a practical review of the compliance function. It addresses the roles, responsibilities and mission of the compliance officer, the...
31/01/2023 08:18
Αγγλικά
eLearning
MiFIR Transaction Reporting (5 CPD Units)...
DESCRIPTIONMiFID II/MiFIR which came into effect on 3 January 2018, is a new legislative framework which aims to strengthen investor protection and improve the ...
31/01/2023 08:18
5 ώρες (1 ημέρα)
Αγγλικά
eLearning
Cyber Security Essentials...
We’re in an era that relies on technology more than eve. Aside from being a constant presence in our daily lives, it’s become ingrained in many of our business ...
31/01/2023 08:18
Αγγλικά
eLearning
Market Abuse Regime (MAR) iLecture...
Market Abuse Regime (MAR) iLecture by Vivienne BanniganAn interactive 90-minute on-demand market abuse workshop.BackgroundThe purpose of the market abuse regime...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Basic Examination Practice and Mock Exams...
Description A set of 2 full Mock Exams in English for the latest CySEC Basic Examination Syllabus. ...
31/01/2023 08:18
Αγγλικά
eLearning
Compliance Essentials...
ACompliance Essentials provides comprehensive coverage of the key compliance / conduct issues that financial services sector companies face today. It provides 8...
31/01/2023 08:18
Αγγλικά
eLearning
AGRC Certificate in Compliance...
Faced with increasingly regulated environment, this programme offers insight into good compliance practices and the skills to lead effective compliance programm...
31/01/2023 08:18
Αγγλικά
eLearning
The Fund Industry: Latest Regulatory Framework...
DescriptionThis course offers a comprehensive introduction to AIF, AIFM, AIFMD, and UCITS. It addresses the various categories and legal forms of AIFs, the rele...
31/01/2023 08:18
Αγγλικά
eLearning
IGCA Certificate in AML...
The IGCA’s AML Certificate’s CurriculumIGCA’s AML Certificate covers the following specific topics:– Money laundering methods, techniques, red flags and key ris...
31/01/2023 08:18
Αγγλικά
eLearning
Compliance Introduction...
A firm needs to establish, implement and maintain adequate policies and procedures sufficient to ensure compliance of the firm (covering its managers, employees...
31/01/2023 08:18
Αγγλικά
eLearning
GDPR General Data Protection Regulation Staff Awareness...
DescriptionThis course examines GDPR from a Staff Awareness perspective. You will appreciate the need, scope and concepts of GDPR as well as learn about the pri...
31/01/2023 08:18
Ελληνικά
eLearning
AIF - Alternative Investment Funds...
DescriptionThis course offers a comprehensive introduction to the Alternative Investment Funds (AIF). It addresses national and EU issues, reflecting the legal ...
31/01/2023 08:18
Αγγλικά
eLearning
Certified Blockchain Developer - Ethereum (CBDE) with Exam Voucher...
Description This course will cover the syllabus of BTA's Certified Blockchain Developer - Ethereum (CBDE) examination. The Certified Blockchain Developer - Ethe...
31/01/2023 08:18
Αγγλικά
eLearning
Financial Promotion and Marketing Compliance...
DescriptionThis course examines the role of the regulatory framework and competent authorities in countries such as the UK, Malta, the US, Cyprus and Germany, f...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Advanced Examination Practice and Mock Exams...
Description A set of 6 full Mock & Revision Exams in English for the latest CySEC Advanced Examination Syllabus. ...
31/01/2023 08:18
Αγγλικά
eLearning
Product Governance, Suitability and Appropriateness (5 CPD Units)...
DESCRIPTIONThe product governance regime aims to ensure that firm’s act in a client’s best interests, including funds and related management services, to end cl...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Basic Examination Practice and Mock Exams...
A set of 3 full Mock Exams in English for the latest CySEC Basic Examination Syllabus.Registration and AccessTo register to this course, click on the Buy Now bu...
31/01/2023 08:18
Αγγλικά
eLearning
CISI International Introduction to Investment...
DescriptionThe International Introduction to Investment offers a broad introduction to the financial services professional sector, with a specific focus on inve...
31/01/2023 08:18
Αγγλικά
eLearning
European Market Infrastructure Regulation (EMIR) Overview...
DescriptionThis course offers a comprehensive overview of the EMIR. It addresses the EMIR requirements, the types of counterparties and the clearing obligations...
31/01/2023 08:18
Αγγλικά
eLearning
CySEC Regulations 15 CPD Bundle 3...
Description This CPD bundle includes the following modules: • Market Abuse and Regulation • Treating Customers Fairly and Handling Complaints in the Financial S...
31/01/2023 08:18
Αγγλικά
eLearning