International Compliance

Course Overview

The term compliance depicts the capacity to act as per the request, set of standards or requests. With regard to financial services organizations, compliance work is categorized under two levels.

Level 1 - Compliance with external guidelines that are compulsory for organizations to follow.

Level 2 - Compliance with interior frameworks of control that are obligatory to accomplish compliance with the externally imposed principles.

Compliance Training course aims to equip the participants with the understanding, requirements and working of compliance by using state-of-the-art tools and techniques.

Course Objectives

  • To gear compliance professionals for changing regulatory environment
  • To gain information regarding fundamentals of compliance
  • To identify the risks that an organization can face and provide suggestions
  • To identify and formulate the controls that assist an organization to protect itself from the risks
  • To identify the efficiency of controls and give report to management for exposure
  • To resolve the issues of compliance
  • To suggest rules and controls in the business

Course Content

Understanding the Regulatory Environment

  • Why do we need regulation
  • Financial services regulation objectives
  • Overview to regulation
  • Regulatory timeline
  • Protection of investor/consumer

International Regulation

  • The roles of the regulator
  • Different regulatory models around the world
  • Overview of recent international regulation
  • The influence of international bodies

Compliance in Practice

  • Structure of compliance
  • Compliance officer offer
  • Process and activities of compliance

Managing the Risk of Proliferation Financing, Terrorist Financing and Money Laundering

  • How are the proceeds of crime laundered
  • Money laundering objectives and weaknesses of services and products
  • Connection among the MLRO, MLPO and Compliance Officer
  • Internal reporting system designing
  • Money laundering/terrorist financing risk based approach
  • Terrorist financing
  • The USA Patriot Act and US extra territoriality
  • Money laundering and tax evasion

Financial Crime Prevention

  • What is fraud
  • Frauds perpetrated against ordinary investors
  • Frauds against organizations
  • Fraud prevention
  • Corruption
  • Market manipulation, insider dealing and market abuse

Course Methodology

The training is going to be highly interactive combination of lectures, group discussions, questionnaires, individual reflections, role plays, simulations and videos.

Target Audience

Compliance courses is designed for compliance representatives, workers that have been given compliance duties, workers with administration obligation and any individual who wishes to gain understanding of essential administrative compliance standards and how organizations can consent to them.


2 Days (08:30–14:30) with appropriate breaks for tea/refreshments and lunch.

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