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Methodology:
Our learning methodology emphasizes a hands-on, intuitive approach to convey relevant
knowledge that promotes program participants to achieve success in the workplace.
Attaining this goal increases job satisfaction and helps maintain motivation. We stress
the following points:
• Learning by doing: we use a mix of purposeful simulations and group or case
work to enhance understanding and reinforce topical material.
• Instructor knowledge: all our instructors have relevant prior work experience
that helps them to provide relatable examples and generate discussion using
concrete examples.
• Client customization: we actively seek to integrate relevant in-house materials, if
provided, to acclimatize the participants to each client’s processes. However, we
never share client specific material.
Program Overview
Day One
This section covers the regulatory framework surrounding compliance issues and reviews the processes
of the life cycle of a trade to better comprehend .
Compliance, Regulations and Trade Processing
Compliance and Regulatory Frameworks
Key topics
- Introduction to Compliance: Overview of compliance in the industry, its importance, and current
trends.
- Regulatory Frameworks: Detailed examination of key regulatory frameworks and standards.
- Risk Management: Advanced techniques for identifying, assessing, and mitigating compliance risks.
- Compliance Audits: Best practices for conducting thorough and effective compliance audits.
- Interactive Workshop: Hands-on activities to apply compliance principles in real-world scenarios.
- Industry Standards: In-depth review of current industry standards and best practices.
- Technology in Compliance: Leveraging technology to enhance compliance efforts.
- Data Privacy and Security: Advanced strategies for ensuring data privacy and security compliance.
- Compliance Training Programs: Designing and implementing effective compliance training programs.
Case Study: Analysis of recent compliance failures and successes in the industry.
Trade Processing & Regulations
Key topics
- Life Cycle of a Trade
- Trade Capture
- Confirmation Matching
- Settlement at the CSD
- Custodians
- Settlement/ Fails Risk
- Strategic An Introduction to Market Regulations
- Dodd Frank, MiFID, UCITS, AIFMD, Local Regulations
- Anti-money laundering
- Trade-based laundering
- Shell Companies
- Round Tripping
- Bank capture: In this case, money launderers or criminals buy a controlling interest in a bank
- KYC
- Collection and analysis of basic identity information "Customer Identification Program" or CIP
- Name matching against lists of known parties (such as "Politically exposed person" or PEP)
- Determination of the customer's risk in terms of propensity to commit money laundering
- Creation of an expectation of a customer's transactional behavior
Day Two
This program is intended for more experienced participants and delves into more complex products and
the associated compliance complexities that can occur. understanding the operation of risk systems,
understanding STORs systems and the role of ATFs
Surveillance and Advanced Issues
Understanding Risk Models and SurveillanceSystems
- Overview & Objectives of Trade Surveillance
- Key regulations and compliance requirements
- Market Abuse and Manipulation – types and examples of insider trading/spoofing/others
- Surveillance Techniques
- Monitoring tools and technologies
- Emerging technologies (e.g., AI, machine learning)
- Understanding the CME SPAN system – examples and how it manages risk of clearing more Advanced Issues
- STORs and reporting systems for suspicious trades
- Dealing with STORs reports
- Capital requirements for brokerage firms vs banks
- Looking at the structure of the balance in detail – how do brokerage firms grow?
- Sources of capital
- Financial Crime Prevention
- Understand the background to and implementation of the Market Abuse regime brought in by MAR
- Describe the behaviors that are considered to be Market Abuse
- Criminal Sanctions for Market Abuse (CSMAD)