Regulatory & SFC Compliance
-
Anatomy of a law-enforcement or regulatory Dawn Raid
Regulators and law enforcement agencies have in recent times become more aggressive in investigating alleged large-scale corporate misconduct, bribery and fraud. This means that major executions of search warrants and the exercise of immediate arrest and interview powers (which together are features of what is commonly referred to as “dawn raids” conducted by law enforcement agencies and regulators) has become and could, for some time to come, continue to be more widespread. In this seminar, we will conduct a run through of some of the main practical issues associated with facing and handling a dawn raid, as well as follow-up work and issues in its aftermath. “War stories” from past experiences will be recounted along the way.
30 Sep, 2019
Courses -
Anti-Money Laundering and Counter-Terrorist Financing: Best Practice and Compliance Issues
Money laundering and terrorist financing (“ML/TF”) can present significant compliance, reputational and operational risks for corporations and have an economic impact on most businesses. Regulators have been taking positive steps to combat ML/TF as well as identify deficiencies in the anti-money laundering and counter-terrorist financing systems and controls of the corporations. This 3-hour course will provide an excellent view of the fundamentals of ML/TF, the relevant laws and regulations, the compliance issues as well as the best practices.
11 Jul, 2017
Courses -
Anti-Money Laundering and Counter-Terrorist Financing: Best Practices and Compliance Issues
Money laundering and terrorist financing (“ML/TF”) can present significant compliance, reputational and operational risks for corporations and have an economic impact on most businesses. Regulators have been taking positive steps to combat ML/TF as well as identify deficiencies in the anti-money laundering and counter-terrorist financing systems and controls of the corporations. This 2-hour course will provide an excellent view of the fundamentals of ML/TF, the relevant laws and regulations, the compliance issues as well as the best practices.
28 Feb, 2018
Courses -
Anti-Money Laundering and Counter-Terrorist Financing: Best Practices and Compliance Issues
Money laundering and terrorist financing (“ML/TF”) can present significant compliance, reputational and operational risks for corporations and have an economic impact on most businesses. Regulators have been taking positive steps to combat ML/TF as well as identify deficiencies in the anti-money laundering and counter-terrorist financing systems and controls of the corporations. This 2-hour course will provide an excellent view of the fundamentals of ML/TF, the relevant laws and regulations, the compliance issues as well as the best practices.
10 Oct, 2018
Courses