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Licence for AML Officers

Seminar - S&P Unternehmerforum GmbH

Basic seminar on the duties listed in §21 PrüfbV (Audit Report Regulation) and the 4th Money Laundering Directive

Termin Ort Preis*
auf Anfrage auf Anfrage 821,10 €
firmenintern auf Anfrage 821,10 €
*Alle Preise verstehen sich inkl. MwSt.

Detaillierte Informationen zum Seminar

Inhalte:

Program

09:15 am

Welcome/Coffee and tea

09:30 am – 13:00 pm

Licence for AML Officers – Limitation of the personal liability risks for the AML officer – Exchange of experience and discussion of current developments

13:00 pm – 14:00 pm

Lunch

14:00 pm – 17:30 pm

Licence for AML Officers –
Due diligence obligations of AML officers – 4th EU Money Laundering Directive
Minimum requirements for audit and control activities – risk analysis

From 17:30 pm

Summary

Content

Thematic focus I

Licence for AML Officers – Optimal limitations of the risk of liability cases for representatives / the central office

> Liability-related guarantor status  – BGH (Federal Court of Justice)  judgement of 17 Juli 2009 on the responsibility of representatives – „Siemens-/Neubürger“-judgement of 10th december 2013 on the compliance system

> Limitation of the risk of liability cases for AML officers and representatives of the central office –Minimum requirements to the internal organizational measures

> How do risk controlling, compliance, AML officers and internal audit work together?

> 5 steps for the optimal risk limitation of representatives

Thematic focus II

Licence for AML Officers – Tasks, rights and obligation of the central office – Safe realization of the § 21 PrüfbV duty list

> Which requirements have to be obeyed by the AML officer?

> Competence centre AML officer: tasks, rights and obligations of the central office (AML officer and representative for economic crime)

> Case studies and practical cases: establishment of appropriate safety measures, development of action strategies, emergency and escalation procedures

> Risk management, control measures and audit procedures of the central office

>Suspicion reports and behavior in the case of suspicion

Tips for implementation
Implementation of the S&P Checklist on the duty criteria according to § 21 Audit Report Regulation

Thematic focus III

Licence for AML Officers – Due diligence obligations and action strategies of the AML officer in practice

> Overview of the due diligence obligations – Interpretation and application notes of the German Banking Industry Committee for prevention money laundering, terrorist financing and “other offenses” (AuADK)

>Target-oriented implementation of the due diligence obligations by the AML officer

> Identification procedures

>Recognition and monitoring of politically exposed people and high-risk customers

> Target-oriented embargo and sanction monitoring – What do I have to take into account?

Tips for implementation

S&P work instructions on the defence of money laundering and economic crime

Thematic focus IV        

Licence for AML Officers – In which areas did serious acts of economic crime take place in the past?

> Characteristics, motives and typical profiles of offenders

>Action strategies for unusual and conspicious business relationships or transactions

> Special measures against fraudulent activities or any other criminal offenses

> Fight against fraud according to § 25h KWG: emergency response, preventive measures and immediate measures

> Application notes, case studies and practical experience

Tips for implementation
S&P guideline on the fight against fraud and the defence of any other criminal offences
S&P Checklist on the prevention of external and internal offenses

Thematic focus V

Licence for AML Officers – Test security at the preparation / update of the risk analysis – organization of the system of registration of suspicion cases

> 4th EU Money Laundering Directive – Latest supervisory and audit relevant requirements

>Development, structure and content of a risk analysis with the focus on money laundering and economic crime

> Risk inventory and audit-proof classification of risks

> New instructions of interpretation and implementation on the system of registration of suspicion cases

>When and how to report suspicions?

> Report of suspicions – Interfaces to investigating authorities

Tips for implementation

S&P guideline on the actualisation and update of a risk analysis

S&P Checklist for a legally compliant suspicion

Dauer/zeitlicher Ablauf:
1 Tag
Ziele/Bildungsabschluss:

Your benefits:

>Optimal limitations of the risk of liability cases
>Tasks, rights and obligations – Safe realisation of the § 21 PrüfbV duty list
>Due diligence obligations and action strategies
>Test security at the prepartion of the risk analysis

> Complete overview of the latest developments in 2016
> Interpretation and application notes of the German Banking Industry Committee (AuADK)
> Limitation of the personal liability risks for the AML officer
> Which approaches exist to avoid financial losses and liability cases?
> Due diligence obligations and action strategies in practice

Zielgruppe:
Managing directors, board members, financial service providers, insurance companies, leasing- and factoring companies, AML officers, deputy AML officers, designated representatives, professional and managerial staff in the field of compliance, central office, internal audit and members of the legal department
Seminarkennung:
S&P Unternehmerforum GmbH
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