RISK BASED APPROACH & AML-CTF risk assessment in the fund industry
Conférences d’actualité

RISK BASED APPROACH & AML-CTF risk assessment in the fund industry

20 nov. 2020, Luxembourg
40
Jours
10
Heures
58
Minutes
36
Secondes
Télécharger (331.66 Ko)

Which are the best practices?

What does a Risk Based Approach mean for you ? How shall  we build a sucessful  FATF awareness training program ?

 

Attend this intensive and highly practical one-day training course and learn  more about it:

  • The CSSF publications and regulations
  • The FATF key words for the next FATF visit
  • Design an effective Anti-Money Laundering Program to support your organization and comply with your regulatory obligations.
  • Establish and strengthen controls to combat terrorist financing twithin your organization
  • Understand best practices and guidelines designed to detect, escalate and resolve the money laundering, and terrorist financing issues

Looking forward to welcoming you to this practical training,

Objectifs

Compétences acquises

Objectifs

Design and execute effective AML and CTF programmes with this course
Enquire the best practices of the RBA
Know and prevent the risks

-      Design and execute effective AML and CTF programmes with this course
-      Enquire the best practices of the RBA
-      Know and prevent the risks

Programme

RISK BASED APPROACH & AML-CTF risk assessment in the fund industry

Registration & breakfast


Welcome by the Chairman

Chairman :Elisa DA SILVA   
Compliance adviser
DS COMPLIANCE

Legal framework: where do we stand?

  • AML EU Directives
  • AML-CTF law dated 12/112004 & CSSF Regulation 12-02 as amended
  • CSSF Circulars 18/698 & 19/732 (Beneficial owner)

FATF, EU, CSSF and ALFI Guidelines: how to proceed?

  • FATF Guidance for RBA/Securities sector & other FATF guidance
  • ESA Guidelines on AML (“the Risk Factors Guidelines)
  • ML/TF Sub-sector Risk Assessment/Collective Investments (compulsory)
  • FAQ CSSF dated 25/11/2019 : RR & RC in the fund industry (roles & responsabilities)
  • ALFI Guidelines on Practices and Recommendations aimed at reducing the risk of money laudering and terrorist financing in the Luxembourg Fund Industry

Coffee break and networking

FATF visit: how to get ready ?

  • CSSF conferences, AML/CTF questionnaires & recommendations
  • Key words of FATF publications
  • Know your AML/CTF internal procedures : internal training to the Management & Compliance/MLRO functions 

Q/A
Lunch

How to implement an effective AML/CTF control framework?

  • AML/CTF risk appetite at Board level
  • Specificities of your activities
  • Combination of risk assessment criteria (country, customer, product & intermediary)
  • Risk assessment & enhanced due diligence
  • International procedures & controls (including foreign branches & subsidiaries)

Coffee -Networking

How to develop a risk methodology?

  • Distribution risk mapping &scoring
  • Fund risk analysis (including the assets)
  • Internal assessment of AML/CTF risks (inherent; residual risks and mitigation measures)

Q/A

End of the conference

 

RISK BASED APPROACH & AML-CTF risk assessment in the fund industry
26438

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Tarif
Luxembourg
Prochaines sessions
A distance
Prochaines sessions
20-11-2020
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