Customer Due Diligence and Know Your Customer Fundamentals

سرفصل های دوره

Learn CDD/KYC Regulatory Requirements, CDD/KYC Governance Model, Committees, Functions, Examples and Practical Scenarios

1. Introduction

1. Introduction

2. Importance of Customer Due Diligence and Know Your Customer (CDDKYC)

1. Why CDD and KYC Measures are Required in Financial Institutions

2. Topics Covered in this CDD and KYC Compliance Course

3. The Importance of Customer Due Diligence and Know Your Customer (CDDKYC)

3. Customer Due Diligence (CDD)

1. What is Customer Due Diligence (CDD)

2. Customer Due Diligence (CDD) Process, CDD Requirements and CDD Aims

3. Customer Due Diligence (CDD) of a Corporate Client

4. CDD Information Requirements for Corporate Clients

5. CDD and Monitoring of Transactions

6. Example 1 - Normal CDD Case - Corporate Client

7. Example 2 - Suspicious CDD Case - Corporate Client

8. What Financial Institutions Should Do and Should Not Do - CDD

9. 3 Types of Customer Due Diligence (Simple, Standard and Enhanced)

10. Explanation of Enhanced Due Diligence (EDD) Measures

4. 3 Major Types of Customers for Financial Institutions

1. 3 Major Types of Customers for Financial Institutions (Low. Moderate and High)

2. Quiz - Types of Customers

5. Adverse Media, Uses, Sources and Its Importance in CDDKYC Compliance

1. What Is Adverse Media, What are Its Sources, Uses and Importance in CDDKYC

6. Customer Due Diligence - Risk Identification and Control Mapping

1. Customer Due Diligence - Risk Identification, Risk Statement and Control Mapping

7. Know Your Customer (KYC)

1. Understanding Know Your Customer (KYC)

2. Purpose and Aims of Know Your Customer (KYC)

3. Initial KYC Information Requirements

4. Understanding Electronic Know Your Customer or eKYC

5. Identification of Suspicious Person or Transaction at KYC Stage - What To Do

6. Capabilities of e-KYC Measures

7. eKYC Frauds

8. eKYC Fraud Prevention Measures for Institutions

8. Types of Screening

1. Politically Exposed Person (PEP) Screening

2. Example PEP Screening

3. Sanction Screening

4. Negative Media Screening

5. Example Negative Media Screening

6. What Institutions Should Do -Targeted Sanction Designated Proscribed Persons

7. Designated and Proscribed Persons - Screening and Other Requirements

9. Money Laundering and Anti Money Laundering (AML)

1. What is Money Laundering

2. Purpose of Money Laundering

3. Why Money Laundering Occurs

4. Institutions Exposed to Financial Crime Risks including Money Laundering Risks

5. Example 1 - Money Laundering Activity

6. Example 2 - Money Laundering Activity (Business Case)

7. Example 3 - Money Laundering Activity - Restaurant Chain Business

8. What is Anti-Money Laundering (AML)

9. Purpose of Anti-Money Laundering (AML)

10. Internal and External AML, CDD and KYC Compliance Sources

1. List of Internal and External AML, CDD and KYC Compliance Sources

2. Purpose of AML, CDD and KYC Compliance Sources

3. Test of Knowledge - Compliance Sources

4. Answers to Test of Knowledge - Compliance Sources

11. Overview of Bank Secrecy Act (BSA) CDD Requirements

1. Overview of Bank Secrecy Act (BSA) - CDD Requirements

12. Financial Action task Force (FATF) CDD, Wire Transfers and PEPs Recommendations

1. Overview of FATF Recommendations on Customer Due Diligence (CDD)

2. FATF Recommendations - When to Perform CDD Measures

3. FATF Recommendations - Wire Transfers

4. FATF Recommendation - Politically Exposed Persons (PEPs)

5. FATF Recommendation - Example Performing EDD for PEP Account

6. High Risk Accounts - NGO NPO Charity Accounts - Overview of AMLCDD Requirements

13. KYC Governance Model, Roles of Board, Committees and Function

1. KYC Governance Model and Structure

2. Board Level and Management Level Compliance Committees

3. Management Compliance Committee Model

4. Roles of Board Level Compliance Committee (BCC)

5. Roles of Management Compliance Committee (MCC) - CDD KYC

6. Roles of Compliance Function

7. Further Roles of Compliance Function

8. Coordination and Reporting by Compliance Function

14. Case Scenarios - AMLCDDKYC

1. Scenario 1 - Account Opening Investigation and Enhanced Due Diligence Actions

2. Scenario 2 - Fake Accounts Investigation and Compliance Actions Taken

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تولید کننده: Udemy