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Catégorie : |
Training Offer in English |
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Prix membres : |
155 € htva |
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Produit : |
Compliance |
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Prix non-membres : |
195 € htva |
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Durée: |
8 heures |
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Prix examen (membres) : |
30 € htva |
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Prix examen (non-membres) : |
40 € htva |
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Veuillez
noter que... |
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Vous pouvez vous inscrire à un examen indépendamment
de tout cours |
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1- Compliance Theory
1.1 Professional obligations
1.1.1 Law of 5 April 1993
1.1.2 CSSF Circular 2000/15 and 2005/211
1.2 FATF 40 recommendations + 9 special recommendations
1.3 Wolfsberg principles
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2- Compliance Function
2.1 CSSF Circular 2004/155
2.2 The Compliance Policy
2.3 The Compliance Charter
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3- Compliance Controls
3.1 Customer due diligence
3.1.1 Private clients and legal structures
3.1.2 PEP’s
3.1.3 Structure descriptions (KYC) and identification of Beneficial Owners
3.2 Transaction (cash and securities reviews)
3.2.1 Transaction monitoring
3.3 Special compliance controls
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4- Communication with the authorities and within the organisation
4.1 Reporting lines in the organisation
4.2 Communication in the organisation
4.3 Training of employees
4.4 Continuing information to employees
4.5 Preparation for the test
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Formations préalables conseillées
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| Aucune formation préalable n'est conseillée |
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The training consists of 4 separate 2-hour sessions.
Prerequisites: Basic knowledge of the actors, activities and rules of the financial sector, of the fight against money laundering and of the bank ethics as applicable in Luxembourg.
This module is part of the Training in Compliance Programme set up in collaboration with ALCO (Association of Luxembourg Compliance Officers for the Financial Sector)
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