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EVENT AND OTHER PRESENTATIONS

Find provided event presentations and other relevant information.

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Funds Compliance 101

Funds Compliance 101

  • 5/14/2018 1:48:00 PM
  • View Count 335
Introduction to funds and fund administration. Fund Compliance. Recent Legislative AML Amendments.
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Compliance Manuals

Compliance Manuals

  • 5/14/2018 1:43:00 PM
  • View Count 378
The basics and best practices regarding compliance with AML/CFT requirements
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AML Risk Assessment

AML Risk Assessment

  • 5/14/2018 1:01:00 PM
  • View Count 262
Review AML Risk Based Approach Requirements. Conducting a customer and entity level risk – includes walk- through examples of AML Risk Based Assessments.
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Anti-Money Laundering Typologies, Trends & Red Flags

Anti-Money Laundering Typologies, Trends & Red Flags

  • 5/12/2018 3:14:00 PM
  • View Count 306
The methods used to launder proceeds of criminal activities and finance illicit activities are in constant evolution. Criminals can be very creative in finding and developing ways to launder the proceeds of crime. Traditional methods include smurfing, the use of currency exchanges, wire transfers, mules/cash smugglers, investing in high value goods and the use of shell companies.
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Auditing Within the Compliance Function

Auditing Within the Compliance Function

  • 5/12/2018 2:22:00 PM
  • View Count 390
Every entity and professional shall establish and maintain an independent audit function that is adequately resourced to test compliance, including sample testing, with its or his written system of internal controls and the other provisions of the Anti-money Laundering Regulations, 2008 and this Code.
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