Financial Crime & Market Abuse – Trade Surveillance

KYC checks, AML & ATF procedures, Alert Management & Case Handling

Sale!

Financial Crime & Market Abuse – Trade Surveillance

999.00 excl. VAT

Description

Programme

This course concerns a 1-day online workshop covering the following topics:

  • Financial crimes
    • Types of crime
      • Money laudering
      • Terrorist financing
      • Bribery
      • VAT fraud
      • Insider trading
      • Market manipulation
    • How can these crimes be committed in the markets & the world of trading?
  • KYC procedures
    • Know your customer/client/counterparty
    • Initial & periodic checks
    • The verification process
  • Market monitoring & trade surveillance
    • People
      • Qualifications, expertise & training
    • Systems
      • In-house development & vendors
      • Fundamental data & transactional data
      • Data quality
    • Arrangements
      • Procedures
  • Case handling
    • Alert generation & flagging
      • Alert management
      • Intepretation
    • Investigation
      • Internally
      • By external party
    • False positive & negatives
    • System optimisation
      • Calibration
    • Reporting suspicious activity to the relevant authority
    • Whistleblowing & anti-retaliation policies

Practical Information

When

Tuesday 7 November 2023, 09:00-15:00 (CET)

Where and how?

Online (MS Teams)

Price

999.00 excl. VAT

Bulk Purchase Enquiry

Contact us for more information regarding bulk purchases.








     
    Our Labels
    Entrima and Market Abuse Centre (MAC) are the two labels we operate to provide learning services for professionals in the commodity & energy markets.
     
     


    Content & Context

    Entrima’s mission is to transfer knowledge regarding the business, controls & operations of parties in (or relating to) the wholesale markets.

    www.entrima.org


    Conduct & Culture

    MAC’s mission is to facilitate the prevention & detection of misconduct and to foster proper behaviour in organisations. This is achieved via training, periodic updates and increased awareness.

    www.marketabusecentre.com