Advanced Level AML & Terrorist Financing

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If you register for both the morning AML and afternoon AML courses, you will only be charged the full day course fee.

With financial crime not only becoming more prevalent but also drawing considerable attention from regulators, it is more important than ever to ensure that your firm is meeting regulatory expectations to counter money laundering and terrorist financing and is compliant with the myriad of law and regulation in this area.

This practical course is designed to assist financial crime professionals in the Investment Management industry to keeping up to date with the latest FCA thematic priorities, and to ensure that they have the policies and procedures in place to not only protect their firm from regulatory scrutiny using a risk based approach, but also, detect money laundering and terrorist financing.

We are including for the first time an interactive workshop

Key learning objectives

• Understanding and applying the ‘Risk-Based Approach’
• How to spot money laundering and different money laundering typologies
• Investment Fund Distribution & Reliance on 3rd parties
• Practical application of AML requirements

12:30 Registration and Networking lunch

• An opportunity for you to network with the trainer and other delegates

13:30 The Risk Based Approach:

• The key requirements in the design and completion of a Money Laundering Risk Assessment
• How to design a Money Laundering Risk Methodology

14:00 Investment Fund Distribution & Reliance on 3rd parties

• Distributor due diligence best practices
• Fund Distribution through Distributors
• What is reliance?

14:30 Workshop in crisis management – the MLRO’s afternoon from hell!

• An interactive workshop exploring how firms can prepare for incidents of reputational risk and crisis management. We’ll walk through a realistic case study focusing on AML crisis management in an investment management context. This will be presented interactively, as we stand together in the shoes of an MLRO and follow an unfolding scenario in which an AML crisis in the business takes hold.
• We’ll look at immediate emergency planning, briefing the board, reputation management, media interest, and regulatory and law enforcement engagement. You’ll gain valuable insights in how to manage a crisis situation with regulators and law enforcement agencies watching over your shoulder, notifications and communications to regulators and the media and related areas of risk that can arise in a regulatory, criminal, HR disciplinary and data protection context.
• The workshop will be practical and collaborative, with attendees tabled together in small groups, each with a facilitator, discussing actions and options for how to steer the firm through the fictional crisis via six sequential scenarios, as things go from bad to worse and the crisis grows.
• You’ll feel ready to tackle anything once you’ve navigated the challenges of the day from hell workshop!

15:30 Break

15:45 Crisis Management continued

17:30 Conclusions and closing remarks

This session is suitable for seasoned financial crime professionals and MLRO/deputy MLROs, or as a follow-up course to the stand alone morning session “An introduction to Anti-Money Laundering & Terrorist Financing”.

If you register for both the morning AML and afternoon AML courses, you will only be charged the full day course fee.

IA Member £395.00 +VAT
Non-Member £545.00 +VAT

Pay using a credit card online, or if you wish to be invoiced please email your full details to: Training@theia.org

PLEASE NOTE: Full payment for the course must be made prior to the course commencement date.

• Any cancellation must be made in writing.
• For all cancellation received 15-30 days prior to the course start date, 50% of the course fee is still payable.
• No refund is given for a cancellation made 14 days or less prior to the commencement of a course.
• Transferring from one course to another is treated as a cancellation.
• You can substitute one delegate for another at no additional cost. In this instance, please give two business days’ notice.

Hybrid Training Courses:

Hybrid deliveries of our training allows participants on our courses the option to attend in-person here from our offices at Camomile Court, or you can attend virtually via MS Teams.

Please be advised a training course could change from hybrid delivery to solely virtual delivery. In such an event, we will inform delegates at least one week prior to the course delivery date.

There are a limited number of in-person spaces available on this course and this will be allocated on a first come first served basis.