Fraud, Anti-Money Laundering & Counter-Terrorist Financing

CERTIFICATE IN COMPLIANCE RULES

Sam focuses on regulatory compliance in financial services and learning development in corporates. Being local to Singapore and having worked in Asia for 10 years, Sam has a deep understanding of cultural drivers and nuances for both regulatory and L&D successes. With an extensive background in corporate training across compliance, anti-money laundering (AML), financial crime and soft skills, Sam helps companies establish their training and development needs by reviewing their existing standards and processes, and offering guidance on areas for further improvement. Sam has trained clients under the Singapore Workforce Development Agency (WDA) Workforce Skills Qualification (WSQ) framework. He has worked on

course and content design, development and delivery under multiple competency standard frameworks, including the Institute of Banking and Finance Standards (formerly FICS). In recent years, Sam has helped establish a number of financial services Compliance Academies.Sam holds a Diploma in Anti-Money Laundering and regularly speaks and produces content on this topic as well as other related regulatory topics. He is a Certified Compliance & Ethics Professional (International) with the Society of Corporate Compliance & Ethics, holds an Advanced Certificate in Training & Assessment from the Institute of Adult Learning, and is an associate trainer with the Aventis School of Management, as well as a corporate facilitator with PD Training.

Sam Gibbins

Expert Trainer

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This program is designed to provide a holistic overview of Anti Money Laundering and Fraud Prevention compliance. All professionals with responsibility for compliance will be-nefit by attending, specifically:

» Money Laundering Reporting Officers » Anti-Money Laundering, Financial Crime Prevention,

and Fraud staff » Compliance Officers/Managers and their Deputies » Managers with responsibility for internal compliance

controls » Managers and Executives » Professional Risk Managers » Legal Advisers and Lawyers » Auditors and Audit Managers » Regulatory Representatives » Accountants » Company Secretaries

WHO SHOULD ATTEND

Leoron Professional Development Institute is registered with the Na-tional Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Spon-

sors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be sub-mitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org

The International Academy of Business and Financial Management™ is one of the world’s fastest growing professional associations with more than 200,000 members, associates and affiliates in 145 countries. IABFM™ hosts and organizes certification training wor-ldwide and offers exclusive board designations to can-didates who meet the highest professional standards and assessment criteria.

The IABFM is acredited by the American National Stan-dards Institute (ANSI), which is the International Stan-dards setting authority.

Delivery Type Group Live

Prerequisites None

Level Advanced Training

This Program is worth 35 NASBA CPE credits

5 KEY TAKE AWAYS

1Understand the history and evolution of money laundering and terrorist financing, looking at the criminal history and global development of this white collar crime.

2Look into global, regional, and local frameworks that have been adopted to better understand how various jurisdictions battle the threat of money laundering and terrorist financing.

3Assess current trends, including sanctions and trade-based money laundering, and what the Risk-Based Approach means for you, as well as potential future developments.

4Build an awareness and understanding of how AML and Fraud Prevention fit into your broad-er Compliance Framework, and the skills and knowledge required to achieve sustainability.

5Design, build, and monitor a fraud prevention program, linked to an overall Governance, Risk, and Cultural Compliance framework.

COURSEOBJECTIVES

This course aims to develop the fundamental skills, both in theory and practice, to develop individual and organisational awareness of the growing threats of money laundering and fraud. The facilitation will build core principles and ideas, based on international standards and best practice, as well as industry benchmarks, to allow attendees to build competence in this ever evolving area of the modern business world.

GRC Solutions uses a 5 stage process to advance organisations and individuals to a mature, sustainable state of Regulatory effectiveness. These building blocks will be referenced throughout our training, allowing individuals to take back principles and theory, as well as actionable ideas, to their organisations, allowing a greater degree of organisational development.

1. Culture2. Compliance Planning3. Compliance Assessment4. Governance, Policies, Training and Controls 5. Monitoring and Continuous Improvement

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October 07-11, 2018 | Dubai, UAE

COURSE OVERVIEWA persistent threat over recent decades and a continuing burden to global economic development, money laundering has developed into a focal point for the fight against financial crime. With an ever expanding armoury of regulation, and with criminals more intent on exploiting systemic gaps than ever before, this programme will look at ways to minimise institu-tional risk and reduce potential exposure to money laundering and the growing threat of financial crime.

This course will give participants of detailed overview of money laundering and fraud prevention, looking at a wide range of financial crime scenarios to develop a deep understanding of these issues from a theoretical and practical perspective. The program will aim to develop skills to help organisations minimise their exposure and risk to this growing area of global crime, using current trends and typologies to adequately establish frameworks for continued deterrence.

Module 1Global & Local Regulatory Frameworks

» Overview of the global regulatory environment » Models of Regulatory and Compliance development » The objectives of financial services regulation » International comparisons and cross jurisdictional challenges » The role of the regulators » International standard setting agencies » What do the Regulators expect? » ISO 19600: Compliance Management Systems » The regional regulatory environment » The local regulatory environment » Using regulatory and compliance toolkits » Key regulatory inventory » Identification and management of cross border complexity

Module 2The AML Compliance Function

» Compliance structure » The role of the board of directors, the supervisors, the internal and external auditors

» The Role and Responsibilities of Chief Compliance officer » Key AML compliance risk inventory » AML Compliance risk data: Collect, Comprehend, Communicate » Principles of crafting written policy and procedures » Key compliance activities » Compliance training » Conflicts of interest » Ongoing compliance with laws and regulations » The company and other stakeholders » Toolkits used to keep stakeholders up-to-date on compliance status within the organisation » Managing the regulators and change in regulations » Creating a Compliance Monitoring Program

Module 4Financial Crime Risk & Red Flag Indicators

» Understanding Money Laundering » International frameworks, agencies, and regulatory bodies » Financial services vulnerability » The role of the MLRO » Development of the Risk Based Approach » Understanding terrorist financing » Suspicious Transaction/Activity Monitoring, Detec-tion and Reporting » Reporting Requirements and Escalation » Designing an effective internal reporting system » Managing the investigation process » Cyber Security » Investigating Financial Crime

Module 5TBML & Sanctions Risk

» The fundamentals of trade based money laundering » Risk management » Key TBML Red Flags » Variable physical goods » Variable pricing of goods » Black market peso exchange » Terrorist resourcing » Proliferation finance » Correspondent banking » Global sanctions architecture - Political, Legal and Im-plementation context » The international context » Transparency, control and ownership » Developing the control framework » Sanctions lifting and roll back » Identifying higher risk jurisdictions and activities

Module 3AML Compliance Risk Management

» Understanding a Risk Management Approach » Risk Management Approaches and the Risk Based Approach » The need for Internal Controls » Understand how to identify, mitigate and control risks effectively » Beneficial Ownership and Shell Structures » Approaches to risk assessment » AML risks associated with New Technologies and New Payments Methods (NPM’s)

Module 6Ethics, Governance and Culture

» What is Compliance Culture? » The values-led mindset » Changing and embedding culture » Why does Governance matter?

» Transaction Monitoring » Risk assessment on approving a conflict request » Risk culture » Conduct risk

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October 07-11, 2018 | Dubai, UAE

PROGRAMTIMINGS

Registration will begin at 08.00 on Day One.

The program will commence at 08.30 each day and continue until 16.30.

There will be two refreshment breaks and lunch at ap-propriate intervals.

IN-HOUSE If interested to run this course in-house please contact Goran Gakidev at +971 4 447 5711 ore-mail: goran.gakidev@leoron.com

DISTANCE LEARNING PROG.If interested to run this course with our distance learning program please contact Agron Kurtishi at +971 4 447 5711 or e-mail: agron.kurtishi@leoron.com

» Key Corporate Governance Principles » Corporate Governance and Financial Crime Prevention » Governance, Risk and Compliance: the framework » Policy frameworks and technical development » Policy procedures and obligations » Corporate Maturity

- What is Maturity? - The underlying process - The Maturity Framework - Developing and implementing your Corporate Ma-turity framework and pathway

Module 8Compliance as a Business Advisor

» Communication Skills » Training of staff » Leading to influence » Negotiation tactics » Team management and assessment

» Time management » Operational management » Objection handling » Questioning for benefit » The art of listening » Commercial acumen » Chairing and running a committee » The art of breaking a piece of bad news » Succession planning

Module 7Terrorism, White Collar and Financial Crime

» Terrorism and Terrorist Financing risk » White Collar Crime » Preventing fraud » Fraud Monitoring » Bribery and Corruption » Insider Trading » Market Abuse » Sanctions and their role in the global economy » Trade Based Money Laundering » Third Party Risks and Due Diligence

October 07-11, 2018 | Dubai, UAE

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TERMS & CONDITIONS

1. Payment Terms for LEORON Professional Development Institute (hereafter LEORON PDI)a. 100% payment of the amount in maximum 15 days upon the receipt of the invoice. b. The payment shall be conducted either in cash, credit/debit card, cheque or bank transfer. c. The stated amount is exclusive of Withholding Tax and other duties, taxes and transfer related charges which if

applicable are payable by the client in addition to the stated amount.2. Cancelation and Postponement Policy

a. All cancelations and postponements shall be done in written form.b. In case of client cancelation:

i. No cancelation fee if the cancelation takes place not less than 14 days prior to the beginning of the course,ii. 50% cancelation fee if the cancelation takes place between 7 days and 14 days prior to the beginning of the course,iii. 100% cancelation fee if the cancelation takes place less than 7 days prior to the beginning of the course,

c. In case of client postponement, i. LEORON PDI issues a credit note which states that the paid amount can be used for participation in any of the

company’s courses which are scheduled in a period of 12 months from the date of the credit note.ii. A 25% postponement fee if the postponement takes place less than 10 days prior to the beginning of the course

d. In case of LEORON PDI cancelation:i. A 100% refund shall be applicable if LEORON PDI decides to cancel the event - the client has an option to receive

a credit note which can be used for any course for a period of 12 months.ii. In case of LEORON PDI postponement - the client may choose to participate on the same course at the later date or

to be issued a credit note which states that the paid amount can be used for participation of any of the company’s courses which are scheduled in a period of 12 months from the date of the credit note.

3. Selection of Trainer and LocationSelection of the trainer and training location shall be at the discretion of LEORON PDI. Every effort shall be made to maintain continuity, but, if necessary, LEORON PDI can change the trainer and training location any time prior to commencement of the course.

4. Intellectual PropertyThe copyright, intellectual property and design rights of the learning materials are property of LEORON PDI and its expert trainers. It cannot be copied, shared or reproduced without prior written consent of LEORON PDI.

5. Health and SafetyThe clients must conform to and comply with the Health and Safety Policy and Procedures as laid down by LEORON PDI or its partner organizations when the course is delivered in leased premises. Breaches of these policies and procedures may result with the client being suspended or excluded from the course and premises.

6. Complaints and Refunds Procedurea. LEORON PDI shall deem relevant the following types of complaints:

i. If the contents of a course or the training materials are incorrect or inappropriate.ii. If the duration of the course is significantly different to that invoiced.iii. If the conduct or actions by the LEORON PDI trainer are inappropriate or offensive.iv. If the training delivery is not on a satisfactory level

b. Enquiries and complaints shall be made in written form and have to contain sufficient detail to allow LEORON PDI to compile an official written response.

c. All official enquiries and complaints shall be submitted electronically to Val Jusufi, Managing Director of LEORON PDI, at val@leoron.com

d. LEORON PDI shall officially respond to the complaint no later than 7 days from the date of its reception.7. Force Majeure

LEORON PDI shall not be liable to the clients or be deemed to be in breach of any agreement it has concluded with them for any delay in performing or failure to perform any of the LEORON PDI’s obligations in respect of the services if the delay or failure was due to any cause such as war, warlike activities, fire, storm, explosion, national emergency, labor dispute, strike, lock-out, civil disturbance, actual or threatened violence by any terrorist group, newly enacted law or regulation or any other cause not within the control of LEORON PDI.

8. Governing LawThis contract shall be governed by and construed in accordance with the Laws and Regulations of the DMC-CA Authority in Dubai, UAE.

I have read and agreed to the following terms and conditions!

COURSE DETAILSCERTIFICATE IN COMPLIANCE RULES – FRAUD, ANTI-MONEY LAUNDERING & COUNTER-TERRORIST FINANCING

Date: October 07-11, 2018 Location: Dubai, UAE

Signature:

leoron.comREGISTRATION FORM

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4 EASY WAYS TO REGISTER

T: +971 4 447 5711

F: +971 4 447 5710

E: register@leoron.com

W: www.leoron.com

COURSE FEE: US$ 4390SAVINGS & DISCOUNTS

GET US$ 400 DISCOUNT if you register 2 months before the course

GET US$ 200 DISCOUNTif you register 1 months before the course

GROUP DISCOUNTS*

3-4 Delegates 20%

5 Delegates 25%

*please note that all group discounts are given on the original course fee** all prices are VAT-exclusive.

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