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