Goals

  • To review the rationale for the introduction of the anti-money laundering laws and their evolution
  • To review a best practice, laws, rules and regulations
  • To review some practical implementation issues and cases

Content

  • The origin and meaning of the money laundering issue
  • The actions on an International level
  • EU directives and national regulations and circulars
  • The actions on a corporate level
  • Ethics & compliance
  • Procedures & code of conduct
  • Suspicious transactions or unusual transactions

MIFID I

Goals

  • Understand the need for enhanced protection of the investors
  • Assure the integrity of the markets
  • Assure the liberalisation of the financial markets
  • Guaranty the transparency of the markets

Content

  • Customer segmentation
  • Product segmentation
  • Information to be received from the customer
  • Information to be provide to the customer
  • Adequacy test (suitability & appropriateness)
  • Best execution
  • Conflict of interest and other related issues