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