Programme content

Seminar 1: Criminal Vulnerabilities of Financial Services and Products
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Date: 22nd February 2012

• Criminal objectives
• Use of financial services in predicate crime
• Use of financial services in laundering
• Use of financial services in disguising ownership
• Use of financial services in evasion forfeiture

Seminar 2: Corruption and PEP risk
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Date: 23rd March 2012

• Corruption as an issue
• Corruption methodologies
• Laundering methodologies
• The role of financial institutions
• Asset recovery
• UK Bribery Act 2010
• Mitigating your risk of exposure to corruption

Seminar 3: The (A)ngola – (Z)imbabwe of Sanctions
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Date: 23rd May 2012

• Understanding different sanctions regimes
• The extra-territorial effect of OFAC
• The dangers of stripping
• Anti-Terror Act claims
• Case studies
• How to manage the risk at clearing and beyond

Seminar 4: US Extra-territoriality
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Date: 12th June 2012

• Information dessimination
• Patriot Act – Section 317
• Patriot Act – Section 318
• Patriot Act – Section 319
• Extradition provisions
• HIRE Act
• Case studies

Seminar 5: Market Abuse
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Date: 4th July 2012

• Misleading statements
• Regulatory overview – Jersey and the United Kingdom
• Insider dealing and market abuse
• Market manipulation tactics
• The Law in Jersey
• Measures to prevent market abuse
• Case studies

Seminar 6: Fraud Risk
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Date: 1st August 2012

• What is Fraud?
• Fraud types
• Causes of fraud
• Impact of fraud
• Assessing an organisation’s vulnerability to fraud
• Fraud prevention and corporate governance
• Strengthening anti fraud measures

Seminar 7: Money Laundering & Terrorist Financing
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Date: 3rd September 2012

• Dispelling the myths about money laundering & terrorist financing
• The risk based approach and money laundering prevention
• Permutations of laundering abuse of financial services and products
• Identifying money laundering risk in your workplace
• Identifying heightened terrorist financing risk in certain relationships
• Proliferation risk
• Recent case studies

Seminar 8: How to Due Diligence and Risk Profile Clients
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Date: 15th October 2012

• CDD – what, why and when
• The risk based approach to CDD
• Understanding commercial rationale
• CDD profiling
• Barriers to effective CDD
• Available CDD software and making effective searches
• Identifying and measuring risk factors

Seminar 9: Effective SAR Reporting
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Date: 20th November 2012

• Reporting obligations
• Gathering and assessing information
• What makes an effective SAR
• The dangers of defensive SARs
• Post reporting obligations

Seminar 10: Analysing Financial Crime Examples
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Date: 5th December 2012

• Madoff
• UBS (Tax evasion)
• Siemens
• Peter Michel
• Bhojwani
• Gichuru
• Maluf