FINANCIAL CRIME COMPLIANCE PROFESSIONALS CERTIFICATION PROGRAMME

FINANCIAL CRIME COMPLIANCE

PROFESSIONALS CERTIFICATION

PROGRAMME

17

June 2015

At DENTONS

One Fleet Place, London, EC4M 7WS (Nearest Stations: City Thameslink or St. Pauls)

DEVELOPING PRACTICAL SKILLS AND

KNOWLEDGE FOR PRACTITIONERS

ORGANISED BY THE COMPLIANCE REGISTER

Telephone: (01908) 322450, Fax: (01908) 220213

THE 2015 FINANCIAL CRIME COMPLIANCE (FCC)

PROFESSIONALS CERTIFICATION PROGRAMME

The Compliance Register, has since 1995, conducted practical compliance training for compliance professionals and senior executives. 2015 marks the 20th year of our work in the area of compliance and regulation.

OBJECTIVES

The objectives of this one-day intensive course are to train and assist FCC professionals to adequately perform their professional duties. Many, if not all enforcement cases have their roots in poor compliance arrangements and lack of proper policies and procedures to deal with operational compliance. At a time of increased regulatory “aggressiveness” and budgetary constraints, being able to manage the FCC function poses increasing challenges as the new threats emerge while the regulatory regime continues to evolve.

To obtain the FCCP Certification, delegates will be required to submit course work within agreed time limits and meet the required standards.

We are pleased to run this event with the support of key industry players – Dentons, City of London Police, Ernst & Young, Fircosoft, etc.

Documentation, lunch and refreshments will be provided.

Course Fee Fee VAT Total

Per delegate: 190.00 38.00 £228.00 VAT has been applied at the rate of 20%.

Reservations, Cancellations & Refunds

Space is limited. To avoid disappointment, please complete and return the Registration Form by email as soon as possible followed by your cheque in the post. If requested, we can also invoice you for payment. Places will be allocated on a “first come first served” basis based on receipt of your registration. Once you have submitted your registration, we will regard it as a firm booking to be followed by payment in full. No refunds will be made for cancellations but we will supply you with the presentations if you are unable to send a substitute delegate. A VAT receipt will be sent on request. Joining instructions will be sent by email, so please make sure we have your email address. The Compliance Register reserves the right to make changes to the programme, speakers or date of the course should the need arise.

THE 2015 FINANCIAL CRIME COMPLIANCE (FCC)

PROFESSIONALS CERTIFICATION PROGRAMME

PROGRAMME

08.30 Registration & Coffee

08.55 Overview for the day

Ben Goh, Chairman, The Compliance Register

MODULE 1 Part A: LEGAL ASPECTS by Nicholas Ralph and Emma Radmore, Dentons

Session 1

09.00 Introduction to Financial Crime laws: What is financial crime?

Session 2

09.20 AML laws – Proceeds of Crime Act and Money Laundering Regulations

Session 3

10.00 Countering the financing of terrorism – the Terrorism Act, the CTA and the Terrorist Asset Freezing Act, etc.

End of Module 1 Part A

10.20 Morning Coffee

Session 4 – SPECIAL MODULE

10.35 Presentation by FircoSoft.

MODULE 1 Part B: LEGAL ASPECTS by Emma Radmore and Nicholas Ralph, Dentons

Session 5

10.55 Financial Sanctions

Session 6

11.30 Prevention of bribery and corruption – the Bribery Act and the Foreign Corrupt Practices Act

Session 7

13.00 Lunch

MODULE 2: LATEST DEVELOPMENTS by DS Mike Betts, City of London Police

Session 9

13.45 Preparing to police the Bribery Act.

14.45 Afternoon Tea

MODULE 3: MANAGING THE FINANCIAL CRIME COMPLIANCE FUNCTION by Tom Salmond and Salman Choudhry of Ernst & Young and Ben Goh of Financial Services Compliance Limited

Session 10 – Ernst & Young

15.00 Lessons from recent enforcement actions in the UK and USA: Impacts and implementation of a control framework.

Session 11 – Ernst & Young

15.35 Managing internal and external

relationships: Maximising the effectiveness of the financial crime compliance function by

establishing accountability.

Session 12 – Financial Services Compliance Limited

16.25 Handling FCA Thematic Reviews – before, during and after.

THE 2015 FINANCIAL CRIME COMPLIANCE (FCC)

PROFESSIONALS CERTIFICATION PROGRAMME

ABOUT OUR PRACTITIONER CERTIFICATION PROGRAMMES The Compliance Register has been serving the needs of compliance professionals and firms since 1995. 2015 is our 20th anniversary and marks a significant milestone in our development.

Each training course can be taken on its own or as part of a Practitioner Certification programme. To be eligible for Practitioner Certification, written answers to the case study are required to be submitted within three months or a separately agreed deadline. The Certification Programme is designed to test your practical skills and knowledge in dealing with real life situations. The following programmes are available:-

1. Financial Crime Compliance (FCC) Professionals Certification – this requires

attendance at one of the Financial Crime Compliance courses and the submission of case study course work within the agreed deadlines.

2. Regulatory Compliance (RC) Professionals Certification – this requires attendance

at two courses namely Conduct of Business (COBS) and Compliance Management & Practice (CMP) in the 2015 calendar year. In additon, the case study course work has to be submitted within the agreed deadlines.

3. Certified Compliance Professional (CCP) – to be awarded CCP status (the highest

level of certification), you must hold both the FCC Certification and the RC Certification.

All Certifications are valid for one year (excluding the year of award) and to be valid, must be renewed every two years. For example, Certifications gained in 2015 will need to be renewed in 2017.

DOWNLOAD REGISTRATION FORM IN WORD

You can download the event registration form in Word format, complete it and then emailed it

to [email protected]

For the Event Code, use FCCP. Click on the link below to download:-

www.compliancer.com/event_registration_form.doc

FCC Professionals Certification Programme

17

June 2015

REGISTRATION FORM

(Please photocopy this form as required.) Mr, Mrs, Miss or Title First Names

Surname Position

Company Address Town

Postcode Telephone Fax

Email address

Please describe any special dietary requirements.

IMPORTANT NOTES

1. Please make all cheques payable to The Compliance Register Limited and crossed “A/C Payee Only”. We can also invoice you for payment either by cheque or by BACS transfer – please request this in your covering email.

2. Registration Forms should be sent by email to [email protected] or fax to 01908 220213 initially followed by the original and cheque in the post to:-

Ben Goh, Chairman, The Compliance Register,

Enterprise House, P O Box 843, Greenleys, Milton Keynes, MK12 6YZ, United Kingdom.

3. If you have any queries, please contact Ben Goh by telephone, direct line: (01908) 322450. 4. Updated versions of this brochure will be available: www.ComplianceR.com