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Capital Market and AML/CFT Compliance: The Emerging Issues

By: DataPro Limited

Lagos State, Nigeria

30 - 31 Oct, 2018  2 day

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NGN 150,000

Venue: Compliance Academy Ground Floor, Foresight House, 163/165 Broad Street, By Marina Waterfront, Lagos Island, Lagos.

Capital Market and AML/CFT Compliance: The Emerging Issues will discuss how:

  • To expose participants to the AML/CFT Compliance Framework for the Capital Market
  • To dimension  fraudulent  activities and and money laundering vulnerabilities  associated with the sector
  • To equip participants with relevant skills in identifying suspicious transactions  with the sector
  • To train participants how to promote compliance culture within their organization
  • To dimension the impact of Technology on Compliance with the Sector.

Course Contents

  • The Spirit of Compliance
  • Fundamentals of AML/CFT Compliance
  • Emerging Issues and Compliance Controls
  • Statutory and Regulatory Framework
  • CDD, EDD, PEPs and UBO : Principles and Procedures
  • Red-flags and STR/SAR Framework
  • FinTech, RegTech and Capital Market Compliance
  • Building a Compliance Culture: Ethics, Conduct and Governance

Target Audience

  • Nigerian Stock Exchange (NSE) Staff
  • Securities and Exchange Commission(SEC) Staff
  • Stock Brokering Firms
  • Issuing Houses
  • Fund Managers
  • Portfolio Managers
  • Capital Market Compliance Officers
Compliance Academy Ground Floor, Foresight House, 163/165 Broad Street, By Marina Waterfront, Lagos Island, Lagos. Oct 30 - 31 Oct, 2018

Registration: 08:00:am - 08:59:am

Class Session: 09:00:am - 17:00:pm

NGN 150,000.00 + 7,500.00 (VAT)(Fee covers course materials, tuition and certificate of attendance)
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Kehinde Rasheed 08022205312

DataPro Limited