Financial Crime · AML01
AML/CFT for Fund Management Teams
Fund-sector application of customer due diligence, beneficial ownership, risk assessment, monitoring, escalation and suspicious-activity reporting.
Designed for practical application.
Fund-sector application of customer due diligence, beneficial ownership, risk assessment, monitoring, escalation and suspicious-activity reporting.
What you will be able to do
- Apply a risk-based AML/CFT framework to fund relationships.
- Recognise ownership, source-of-wealth and transaction red flags.
- Explain escalation, documentation and governance expectations.
Course structure
01
Financial-crime risk in funds
02
CDD and beneficial ownership
03
Risk rating and enhanced due diligence
04
Ongoing monitoring and red flags
05
Escalation, reporting and records
Assessment and evidence
ASSESSMENT
Case-led assessment; proposed pass mark 70%.
LEARNING EVIDENCE
Completion record, score and certificate.
AML01
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