Licence for AML Officers

Licence for AML Officers – S&P Seminar – Developments in 2016

Licence for AML Officers - S&P Seminar - Developments in 2016

Basic seminar on the duties listed in §21 PrüfbV (Audit Report Regulation) and the 4th Money Laundering Directive

> Complete overview of the latest developments in 2016

> Interpretation and application notes of the German Banking Industry Committee (AuADK)

> Limitation of the personal liability risks for the AML Officer

> Which approaches exist to avoid financial losses and liability cases?

> Due diligence obligations and actions strategies in practice

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Your benefits: Licence for AML Officers

Optimal limitations of the risk of liability cases

Tasks, rights und obligations – Safe realisation of the § 21 PrüfbV duty list

Due diligence obligations and action strategies

Test security at the prepartion of the risk analysis

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Your advantage: Licence for AML Officers

Each participant receives the  following  S&P products:

 

+ guideline for the direct implementation of the anti-money laundering and fraud system (No. of pages: approx. 80)

+ guideline for the preparation / update of a risk analysis (No. of pages: approx. 20, Word doc.)

+ certificate of participation  as verification of the advanced training and certification proof for submission to the BaFin for examination

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Target group: Licence for AML Officers

Managing directors, board members, financial service providers, insurance companies, leasing- and factoring companies, AML officers, deputy AML officers, designated representatives, professional and managerial staff in the field of compliance, central office, internal audit and members of the legal department

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Optimal limitations of the risk of liability cases for representatives / the central office

> Liability-related guarantor status  – BGH (Federal Court of Justice)  judgement of 17 Juli 2009 on the responsibility of representatives – „Siemens-/Neubürger“-judgement of 10th december 2013 on the compliance system

> Limitation of the risk of liability cases for AML officers and representatives of the central office –Minimum requirements to the internal organisational measures

> How do risk controlling,  compliance, AML officers and internal audit work together ?

> 5 steps for the optimal risk limitation of representatives

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Tasks, rights and obligation of the central office – Safe realization of th §21 PrüfbV duty list

> Which requirements have to be obeyed by the AML officer ?

> Competence centre AML officer: tasks, rights and obligations of the central office (AML officer and representative for economic crime)

> Case studies and practical cases: establishment of appropriate safety measures, development of action strategies, emergency and escalation procedures

> Risk management, control measures and audit procedures of the central office

> Suspicion reports and behavior in the case of suspicion

Tips for implementation
+ Implementation of the S&P Checklist on the duty criteria according to § 21  Audit Report Regulation

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Due diligence obligations and action strategies of the AML officer in practice

> Overview of the due diligence obligations – Interpretation and application notes of the German Banking Industry Committee for prevention money laundering, terrorist financing and „other offenses“ (AuADK)

>Target-oriented implementation of the due diligence obligations by the AML  officer

> Identification procedures

>Recognition and monitoring of politically exposed people and high-risk customers

> Target-oriented embargo and sanction monitoring – What do I have to take into account?

Tips for implementation
+S&P work instructions on the defence of money laundering and economic crime

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In which areas did serious acts of economic crime take place in the past?

> Characteristics, motives and typical profiles of offenders

>Action strategies for unusual and conspicious business relationships  or  transactions

> Special measures against  fraudulent activities or any other criminal offenses

> Fight against fraud according to § 25h KWG: emergency response, preventive measures and immediate measures

> Application notes, case studies and practical experience

Tips for implementation
+ S&P guideline on the fight against fraud and the defence of any other criminal offences
+ S&P Checklist on the prevention of external and internal offenses.

 

Test security at the preparation / update of the risk analysis – organization of the system of registration of suspicion cases

> 4th EU Money Laundering Directive – Latest supervisory and audit relevant requirements

>Development, structure and content of a risk analysis with the focus on money laundering and economic crime

> Risk inventory and audit-proof classification of risks

> New instructions of interpretation and implementation on the system of registration of suspicion cases

>When and how to report suspicions?

> Report of suspicions – Interfaces to investigating authorities

Tips for implementation

+ S&P guideline on the actualisation and update of a risk analysis

+ S&P Checklist for a legally compliant suspicion

 

Seminar international – In-house Trainings – In-house Coachings – Place of Event – Licence for AML Officers (S&P)

You will find our international In-house Trainings and In-house Coachings in Aberdeen, Abu Dhabi, Amsterdam, Athens, Delhi, Barcelona, Beijing, Birmingham, Bristol, Brussels, Chicago, Dallas, Dubai, Hong Kong, Las Vegas, London, Los Angeles, Miami, Mexico City, Moscow, New York City, Rio de Janeiro, San Francisco, Seoul, Shanghai, Shenzhen, Singapore, São Paulo and Washington.

Compliance & Geldwäschebeauftragter – Licence for AML Officers

Seminar Geldwäschebeauftragter: Geldwäsche und Fraud – Basisseminar

Seminar Geldwäschebeauftragter: Geldwäsche und Fraud – Aufbauseminar

Seminar Geldwäschebeauftragter: Geldwäsche & Fraud – Update

Seminar Geldwäschebeauftragter: Geldwäsche & Fraud – Forum

Seminar Geldwäschebeauftragter: Gefährdungsanalyse – Prüfung 2017

Seminar Geldwäschebeauftragter: Aufbauseminar – Geldwäsche und Wirtschaftskriminalität

Seminar Geldwäschebeauftragter: Geldwäscheprävention für Güterhändler

Seminar Geldwäschebeauftragter: Geldwäscheprävention für Immobilienmakler

Seminar Geldwäschebeauftragter: Geldwäscheprävention für Leasing- & Factoring-Unternehmen

Seminar Geldwäschebeauftragter: Geldwäscheprävention für Versicherungsunternehmen

Seminar Geldwäschebeauftragter: Geldwäscheprävention für Spielbanken und Veranstalter/Vermittler von Glücksspielen im Internet

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