► Course Overview

This course is specifically designed to assist Senior Management in meeting their statutory and regulatory obligations. 

Any failure to meet these obligations is a breach of the Money Laundering Responsibilities (MLR) and of the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) Rules in “Senior Management Arrangements, Systems and Control (SYSC). 

As bribery and corruption and market abuse (MA) may involve the proceeds of crime they are natural derivatives of Anti Money Laundering (AML) so this course also includes an explanation of the offences and penalties under the Bribery Act 2010 and the Market Abuse Regime (MAR).  

The course includes examples of the offences that could have an impact on senior management, including the potential for two years in prison for not taking sufficient steps to prevent bribery. One of the steps toward prevention is of course the provision of training. 

► Course Objectives

Attendance on this course will provide you with: 

• A sound knowledge of AML, Counter-terrorist financing (CTF), Activity-based costing (ABC) and MA
• An appreciation of the obligations on the firm and each individual 
• An understanding of the importance of the Joint Money Laundering Steering Group (JMLSG)
• An opportunity to benchmark your knowledge and current compliance arrangements 
• Comfort that the firm is compliant with Regulation 24 of the MLR and is able to demonstrate that staff have been made aware of AML, ABC and MA 

► KEY TOPICS

• What money laundering is  
• Terrorism 
• The legal framework 
• JMLSG Guidance: including the risk based approach 
• Suspicious Activity Reporting (SAR)
• Awareness and training 
• Record keeping 
• Anti-bribery and corruption 
• Market abuse 

Course aimed at: All Staff

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