MQAA

PPROVED

ConductingEffectiveCDD&EDD CPD:7UNITS CourseOverview

This practical workshop is designed for professionals in the financial services sector to upskill and to expand their capabilities in conducting comprehensive due diligence investigations on individuals, entities and third parties.

Delegates will learn how to implement appropriate due diligence procedures and gain insight into how to conduct independent research on clients, how to analyse, identify & investigate complex/disguised beneficial ownership structures to limit and control their risk exposures.

Methodology

The first part of the workshop takes delegates through the regulatory frameworks and the different levels of Customer Due Diligence, obligations for onboarding new clients/third parties and for refreshing existing client files.

In the second part, delegates will work on practical & real case exercises and will be shown true-life financial crime cases to foster a better appreciation of the impact of financial crime on society and the role delegates can play in preventing financial crime.

CourseOutline(includecasestudies&exercises)

• AML Regulatory Framework and Regulations and Industry Guidance on Customer Due Diligence.

• Understanding the levels of Customer Due Diligence, in practice.

• When and how to conduct Enhanced Due Diligence (Including Source of funds & Source of Wealth Validations for PEPs).

• When and how to conduct Risk-Based Periodic Refresh/Update of existing customer Information/Data.

• What needs to be done in practice when conducting Risk-Based Customer Due Diligence.

• What needs to be done in practice when conducting Risk-Based Client KYC / CDD refresh.

• How to conduct independent research and background checks on Complex Beneficiary Ownership structures to identify and understand the associations and get a clear risk picture of the entity.

• How to conduct Third Party Due Diligence, Anti-Bribery & Corruption

DATE:16MARCH2020 TIME:9AMto4.30PMFEE:Rs15,000(Rs4,500after70%HRDCrefund)HRDC T&C APPLY VENUE:HennessyPark,Hotel,Ebene

MQAA

PPROVED

. . .Cont . - Conducting Effective CDD & EDD TrainingOutcomes

By the end of the training, delegates will be able to:

• Understand the Customer Due Diligence Regulatory Obligations for firms.

• Understand how to undertake Investigative Customer Due Diligence.

• Understand the procedures for customer/entity/third party screenings for Sanctions, PEP, Adverse Media & Anti-Bribery & Corruption.

• Understand how to investigate beneficiary owners that use multinational and complex organisational structures to obscure or disguise ownership of assets.

• Discuss what to do in practice when conducting Risk-Based Customer Due Diligence.

• Discuss what to do in practice when conducting Risk-Based client KYC/CDD refresh.

• Know and understand the AML Regulatory Framework, Laws & Regulations. • See themselves as part of the global financial crime

• Be more stringent in following AML policies and procedures to assist in preventing financial crime.

DATE:16MARCH2020 TIME:9AMto4.30PM

FEE:Rs15,000(Rs4,500after70%HRDCrefund)HRDC T&C APPLY VENUE:HennessyPark,Hotel,Ebene

CPD:7UNITS MAURITIUS

FEEincludes:

• CourseMaterials

• Stationeries

• AttendanceCertificate

• WelcomingTea/Coffee&Pastries

• Morning&AfternoonTea/Coffee&Pastries

• Lunch

       

 

SPEAKER'S  PROFILE  

NANA  OPAREBEA  MANTEY  

Nana is an ICA-certified compliance professional with over 15 years experience gained across Retail and Corporate banking and has an in-depth knowledge of the Financial Crime Compliance, Regulatory Reporting, Treasury Back Office Settlements and Interbank & Cross-Border Payments.

She specialises in Financial Crime, AML, Sanctions, KYC / CDD reviews for Client Onboarding, Risk Assessments & Classification, Periodic Reviews, Transaction Monitoring and Financial Crime Remediation.

She has extensive experience of onboarding and monitoring of varied clients such as Retail clients, Correspondent Banks, Government Entities & Parastatal Organisations, Special Purpose Vehicles (SPVs), Trusts, Foundations, Charities, PEPs, High Net Worth Individuals (HNWI) and Money Services Businesses (MSBs)

She had worked at ADB Bank, Ghana and Ghana International Bank Plc, London, UK where she gained recognition for designing and implementing an internal risk management framework from scratch, right from implementing new efficiencies in the client onboarding process, writing and updating the banks’ KYC & AML policies and procedures, designing a Product Risk Assessment Framework for the Trade Finance Department.

She has in depth experience of the UK and Global Financial Crime requirements; FCA Handbook, GDPR, Wolfsberg Principles, JMLSG Guidance, Money Laundering Derivatives (4MLD), Ant-Bribery & Corruption (ABC), FATF Recommendations, Basel Committee on Banking Supervision (BCBS) Customer Due Diligence for Banks and Sanctions and the Payment Services Directive (MSBs).

She was also responsible for the First line of Defense (FLOD) operational risk assessment, mitigation and control, providing Financial Crime compliance and regulatory counsel and guidance.

She had undertaken Financial Crime Remediation Projects and was part of the panel interviewed by FCA’s supervision team during reviews of bank’s Financial Crime Systems and Controls.

She now provides training programs to enhance internal AML/CTF awareness and culture to firms (including banks) and advises them on various aspects, including:

• Establishing appropriate AML, terrorist financing prevention and sanctions systems, processes and controls in Regulatory Compliance with various regulatory regimes in different jurisdictions (UK and West Africa).

• KYC / CDD / EDD processes for new clients and third parties.

• Undertaking Gap analysis and uplifting a population of high-risk clients to meet enhanced cross-regional KYC requirements to ensure KYC/AML compliance processes meet national and international regulatory requirements.

• Maintaining a risk-based approach to AML & KYC through periodic review of clients’ due diligence to refresh/close compliance gaps in clients’ data and documentation.

• Conducting and reviewing clients risk assessment and profiles, considering key risk factors and aligning to the firm’s risk appetite and business model.

• Designing and implementing systematic monitoring and evaluation program for the various aspects of the business to ensure that standards of quality/regulatory obligations are being met.

• Conducting trade finance transaction risk assessment and due diligence.

• Sanctions, PEP, Anti Bribery & Corruption and Adverse Media screenings.

EDUCATION AND QUALIFICATIONS

1. Diploma in Governance, Risk and Compliance - International Compliance Association, (ICA) UK

2. Masters in Business Administration (MBA), UK

3. BA Economics/Sociology (Second Class Honours- Upper Division, 2.1)

 

BOOKING FORM Pleasecompleteande-mailtotraining@keynes.co

MQAapprovedcourse:ConductingEffectiveCDD&EDD

Date: 16 March 2020 CPD: 7 hours Fee: Rs 15,000 (Rs 4,500/Rs 3,750 after 70%/75% HRDC refund*) *HRDC T&C applies

Venue: Hennessy Park Hotel, Ebene, MAURITIUS

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