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On completion of our full AML course, you will:

• Understand what money laundering is and how to prevent it
• Understand what terrorist financing is and how to prevent it
• Understand the AML framework obligations of FCA-regulated investment firms
• Understand customer due diligence and ongoing monitoring
• Understand how to report suspicious behaviour
• Understand your personal liability and the associated risks
• Achieve 1 CPD point

• The Bigger Picture – Financial Crime

  – Gain insights into the effects of financial crime

• What is Money Laundering?

  – Money Laundering
  – What’s the Big Deal?
  – The Crime versus the proceeds of crime
  – How criminals might launder money
  – Using the financial services industry to launder money

• What Is Terrorist Financing?

  – Learn about Terrorist Financing and its effects on the economy

• Prevention

  – The global approach
  – UK criminal offences
  – The Money Laundering Regulations
  – The role of the UK Financial Conduct Authority

• FCA Regulated Firms – high level framework

  – Make certain appointments
  – Conduct Risk Assessments
  – Have policies and procedures in place
  – Books and records
  – When firms get it wrong

• Customer Due Diligence and Ongoing Monitoring

  – Purpose
  – When to apply CDD
  – Conducting CDD
  – The ‘Risk-Based’ approach
  – Issues and pitfalls

• Reporting Suspicious Activity

  – The legal requirement
  – What does ‘Knowledge or Suspicion’ mean in Practice?
  – Reporting to the Nominated Officer
  – What you need to know

• What is my personal liability?

  – My personal liability
  – Managing these risks

• Quiz

  80% Pass Mark

• Conclusion

  – Recap
  – Downloadable Certificate