Introduction To Compliance

AY2019/2020 Semester 1

1. Introduction to Banking - A Compliance Perspective 2. The Compliance Function 3. Managing Compliance Risks 4. Regulatory and Supervisory Landscape 5. Key Laws and Regulations 6. Banking Products/ Services and Related Compliance Issues 7. Culture and Conduct Risks 8. Introduction to Anti-Money Laundering and Application within the Financial Sector 9. Designing and Applying Effective Client Due Diligence Measures 10. On-going Monitoring Part 1 - Designing and Applying Effective Periodic Review Measures 11. On-going Monitoring Part 2 - Transaction Monitoring and Filing of Suspicious Transaction Report 12. On-going Monitoring Part 3 - Sanctions, Training and Audit 13. Designing and Implementing an Effective AML Framework