Know your customer/customer due diligence

Basic

 5/5

Basic

Know Your Customer

Core KYC/Client Due Diligence minimum standards

Conceptual understanding, definitions, regulatory regimes' oversight, bank-specific policy level standards, etc.

 5/5

Basic

Know Your Customer

KYC – Digital KYC/Video KYC/Online KYC

Conceptual understanding of what can and cannot be undertaken from a KYC/CDD perspective in a non-F2F scenario, digital/video banking scenario, acceptable and non-acceptable industry standards, regulatory regimes and expectations, etc.

 5/5

Basic

Know Your Customer

KYC – Politically Exposed Persons (PEPs)

PEP definition, identification, local vs foreign PEP definition, basic risk assessment, connected PEPs, De-PEP scenarios, etc.

Intermediate

 5/5

Intermediate

Know Your Customer

KYC – Source of Income vs. Source of Funds vs. Source of Wealth

Nuances pertaining to (1) SOI, (2) SOF, (3) SOW, to what extent are these needed, and in what scenarios during onboarding and reviews, requirements, and scenarios that need corroboration vs. information collection, etc.

 5/5

Intermediate

Know Your Customer

KYC – Reviews’ Management

Periodic reviews, trigger-based reviews, the extent of reviews needed, regulatory expectation, client exits, expectations management, MI and governance, etc.

 5/5

Intermediate

Know Your Customer

KYC – Politically Exposed Persons (PEPs)

PEP definition, identification, local vs foreign PEP definition, basic risk assessment, connected PEPs, De-PEP scenarios, etc + (1) Advanced risk assessment, (2) identification of 'extent of PEP influence, (3) Exemption scenarios, (4) detailed designation analysis, (5) key regulatory regimes on PEP risk assessment, (6) De-PEP exception scenarios, etc.

Advanced

 5/5

Advanced

Know Your Customer

KYC/CDD – Key regulatory regimes, MLDs and expectations

A unique course that takes the audience through regulatory expectations of key global regulatory regimes and expectations, future regulatory trends in the AML space.

 5/5

Advanced

Know Your Customer

KYC/CDD Risk Management – Assurance, MI & Governance and Monitor Management

Assurance checklists, what poses 'real risks', audit and assurance management, typically encountered monitor questions, action plans and articulation of responses to monitors/regulators, etc.

 5/5

Advanced

Know Your Customer

KYC/CDD – Sanctions risks and mitigants, regimes

Sanctions filtering and risks associated with Sanctions indicia clients, risk assessments, Sanctioned countries vs. Sanctioned entities vs. Sanctioned individuals, Sanctioned countries vs. Sanctioned cities (e.g. Crimea), Sectoral Sanctions, etc. + (1) latest Sanctions risk assessment methodologies/systems, (2) risk appetite, (3)Sanctions in a Fintech/cross border Retail/Trade/Trade Finance/Counterparty Sanctions risks, (3) Sanctions risks in Syndicated Lending/Corporate Finance, (4) Sectoral Sanctions - Do's and Don'ts, etc.

Know your customer/customer due diligence

Basic

Core KYC/Client Due Diligence minimum standards

KYC – Digital KYC/Video KYC/Online KYC

KYC – Politically Exposed Persons (PEPs)

Intermediate

KYC – Source of Income vs. Source of Funds vs. Source of Wealth

KYC – Reviews’ Management

KYC – Politically Exposed Persons (PEPs)

Advanced

KYC/CDD – Key regulatory regimes, MLDs and expectations

KYC/CDD Risk Management – Assurance, MI & Governance and Monitor Management

KYC/CDD – Sanctions risks and mitigants, regimes

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