Managing SARs Investigations - Best Practice Guide Are you doing everything you need to? Make sure you've got all your bases covered with this desktop guide, and get to grips with an area that can be perceived by some to be a legal minefield. Built on extensive practitioner knowledge, this course provides tips and advice on managing investigations that are practical and have real-life relevance. Understand which aspects to be aware of when reviewing and evaluating potentially suspicious or unusual activity Know the process for considering an internal alert about a suspicious transaction or account activity Equip yourself with the confidence to make decisions, which can have serious implications for you personally as well as others This course is designed to either complement SARs Investigations: Practice like a Professional or as standalone learning.
Introduction to Protecting Client Money Recent high profile fraud cases and continued regulatory scrutiny have highlighted the importance of understanding the key principles of safeguarding client money and assets. The rules are complex and you need the right skills to apply them effectively. This course covers this technical area in an accessible, easily understandable way., focusing on the principles, practical examples, and taking a closer look at the Financial Conduct Authority (FCA) CASS rules to help bring the concepts to life. By the end of the course, you will be able to: Understand the key principles in managing client monies and assets effectively Discover why insolvency drives the need to protect customers Learn why company and customer monies should be separated, as well as how and what to separate Explain the basics for good organisational arrangements and understand the fundamentals of banking and custodian relationships Describe the basics of registration and recording of legal titles and the importance of segregation and the role of diversification Know the steps to take when reconciling accounts and understand how to protect monies and assets during transactions.
Demystifying ESG Environmental, Social and Governance (ESG) is a set of principles that assist a firm in becoming socially responsible. Applied across a number of industries, its popularity has grown rapidly, with an ESG framework now considered essential for many businesses. Embedding ESG in your organisation helps identify risks and opportunities, maintain regulatory compliance, gain the trust of stakeholders, invite investment and attract and retain talent. This timely short course, written by subject matter experts, will help you: understand ESG and its importance globally apply key lessons learned from those firms neglecting ESG identify where ESG fits within your organisation, and develop best practice to promote strong ESG engagement. On completing this course, you will understand key ESG concepts, as well as how to explain them to your colleagues. You'll also discover the steps required to embed ESG within your firm. This course covers: How does ESG work? Where does ESG sit within a business? Business benefits Current position audit Benchmarking Metrics and reporting Horizon scanning Bringing ESG to life
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