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Course Overview
This workshop addresses the regulatory requirements for undertaking due diligence on clients at all levels. You will learn about the information and documentation required and how to risk rate clients using a risk based approach in accordance with the Guernsey regulatory requirements.
Course Content
- AML/CFT – what is it and what is its importance
- The regulatory requirements and a risk based approach
- How to evidence due diligence undertaken
- Politically exposed persons and high risk categories
- The requirements for simplified and enhanced due diligence
- The role of the MLRO
- Barriers and how to overcome them
Benefits
This course is designed for those wishing to learn about the requirements of Client Due Diligence and how to implement a process.
After attending the course you will:
- Understand the regulatory requirements relating to AML/CFT
- Be aware of the importance of reviewing and evidencing due diligence
- Have gained a greater understanding of a "risk-based approach"
- Be able to implement a process to undertake client due diligence
Course Tutor
Emma Mauger
Emma Mauger, TEP,Dip (ITM), FICA, Int.dip (COMP), Int.dip (AML), Int.dip (FinCrime). Emma has over 20 years’ experience in the Guernsey financial sector and is one of only a handful of people worldwide to hold all three ICA Diplomas delivered via Manchester University: ICA International Diploma in Compliance, in Financial Crime Prevention and in Anti Money Laundering. In addition Emma is a fully qualified STEP member, a certified GDPR Practitioner and a member of the Institute of Directors.
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