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Capital Market and AML/CFT Compliance: The Emerging Issues
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) |
Kehinde Rasheed 08022205312
DataPro Limited