This course will examine in detail measures that banks and other financial institutions are required to implement financial integrity preventive measures. It will focus on risk assessment, customer on boarding and acceptance, record keeping, customer activity monitoring, suspicious activity report preparation, internal controls, and the supervisory process. Risk assessment techniques will be emphasized. The course will also review the FATF preventive measures standards and methods of compliance assessments. A sampling of key national laws and regulations, including those of the United States, will be included.
Instructors: Jonathan Adler, Richard Barrett, Ross Delston, Phil Deluca, Andrea Gacki, Richard Gordon, William Langford, Dennis Lormel, Willie Maddox, John Mair, Mark Nance, Rick Small, Dan Stipano, Jim Vivenzio