Customer Due Diligence And Know Your Customer Fundamentals
Published 4/2024
MP4 | Video: h264, 1920x1080 | Audio: AAC, 44.1 KHz
Language: English
| Size: 1.59 GB[/align]
| Duration: 4h 33m
Learn CDD/KYC Regulatory Requirements, CDD/KYC Governance Model, Committees, Functions, Examples and Practical Scenarios
[b]What you'll learn[/b]
Learn Customer Due Diligence (CDD), Know Your Customer (KYC), Enhanced Due Diligence (EDD) Measures
Learn Types of Customer Due Diligence (CDD) Simplified, Standard and Enhanced Due Diligences
Learn Know Your Customer (KYC) Concepts, Purpose and Requirements
Learn different Types of Customers, including High-Risk, Moderate Risk and Low Risk Customers
Learn Money Laundering and Anti-Money Laundering Measures
Examples of Money Laundering Activities - Business Scenario Cases
Learn Electronic Know Your Customer (e-KYC) Process
Learn e-KYC Frauds That Usually Occur in FIs and related Prevention Measures
Learn e-KYC Capabilities for FIs
Learn Financial Action Task Force (FATF) Recommendations - Customer Due Diligence (CDD)
Learn Financial Action Task Force (FATF) Recommendations - Wire Transfers and CDD
Learn Financial Action Task Force (FATF) Recommendations - Politically Exposed Persons (PEPs) with Case Example
Learn Different Types of Screening including PEP Screening, Sanction Screening and Negative Media Screening
Examples of PEP and Negative Media Screening
Learn AML Requirements for High Risk Accounts - NGO NPO and Charity
Learn about the CDD/KYC Governance Model and Structure with Monitoring Mechanism
Learn Roles of Governance, Board and Management Level Compliance Committees and Compliance Function related to CDD/KYC Compliances
Practical Scenarios including areas such as High-Risk Account Opening, PEP Discovery with Fraud, Fake Accounts, Investigation, and Taking Compliance Actions
[b]Requirements[/b]
There are no specific requirements to attend this course, however, knowledge of Compliance, including Anti-Money Laundering and Know Your Customer (AML/KYC) will help you.
[b]Description[/b]
This "Customer Due Diligence (CDD) and Know Your Customer (KYC)" course is a comprehensive course, that will take you from the basic to the advanced level understanding of CDD, EDD, and KYC measures and practices, being implemented in institutions. This course covers essentials of CDD/KYC, including concepts of robust CDD/KYC measures, types of due diligence measures, types of screenings, types of customers, ultimate beneficial owners (UBOs), manual and digital KYC processes, KYC information requirements, negative media, FATF Recommendations (CDD, Wire Transfers, PEPs), High-Risk Accounts and CDD/KYC, Proscribed Persons and Designated Persons, Sanctions, CDD/KYC Governance Model, Board and Management Compliance Committees Models, Committees Roles, Compliance Function and Its Roles related to AML/CDD/KYC, etc.Practical Case Scenarios are also covered in this course in addition to various CDD/KYC and ML examples. Topics Covered in the Course:Customer Due Diligence (CDD), Its Purpose and RequirementsEnhanced Due Diligence (EDD) MeasuresTypes of Customer Due Diligence - Simplified, Standard, and Enhanced Due DiligencesCustomer Due Diligence - Risk Identification, Risk Statement and Control Mapping High-Risk Customers and AccountsPolitically Exposed Persons (PEPs)NGO, NPO and Charity Accounts (CDD/KYC)Know Your Customer (KYC), Its Purpose and CapabilitiesElectronic Know Your Customer (e-KYC), Purpose and its Capabilitiese-KYC Frauds and Prevention Measures for FIsAdverse Media, Uses, Sources and Its Importance in CDD/KYC ComplianceTypes of Screenings and Examples - PEP, Sanction, and Negative MediaMoney Laundering, Its Purpose and AimsExamples of Money Laundering Activities (Illegal Business Cases)Anti-Money Laundering (AML) Important AML Compliance Sources for Regulatory Requirements and Risks ExtractionPurpose of AML Compliance SourcesKnowledge Test - Compliance SourcesFATF Recommendations on Customer Due Diligence (Overview)FATF Recommendations - When to Perform Customer Due Diligence (Overview)FATF Recommendation - Wire Transfers - Requirements (Overview) FATF Recommendations on Politically Exposed Persons (PEPs) (Overview)Example of PEP Account Opening Case Targeted Financial Sanction Requirements for FIs (PPs and DPs)KYC Governance Model and Hierarchy in an InstitutionRoles of Key Stakeholders in CDD/KYC Compliance - Board, Compliance Committees, and FunctionsCDD/KYC Practical Case ScenariosDifferent Practical AML/KYC Scenarios:Scenario 1: High-Risk Customer PEP Investigation Case - CDD/KYC and EDD Measures Scenario 2: Discovery of Fake Accounts, Compliance Investigations, and Action Steps What are the Key benefits of Attending This Course:CDD/KYC comprehensive knowledgeUnderstanding CDD/KYC aspects through practical examples and scenariosAbility to appear in an interview for AML/KYC Compliance, Risk Management, and Audit JobsCourse Completion CertificateWho Should Attend This Course?:This course is suitable for Compliance Professionals, including Chief Compliance Officers (CCOs), AML Analysts, Money Laundering Reporting Officers (MLRO), Deputy Money Laundering Reporting Officers, Compliance Risk Managers, AML Compliance Risk Assessment Professionals, Compliance Consultants, Branch Managers, Operation Managers, Customer Onboarding Officer and Managers, Business Heads working in FIs, Internal Auditors, and students of Compliance such as CAMS.
Overview
Section 1: Introduction
Lecture 1 Introduction
Section 2: Importance of Customer Due Diligence and Know Your Customer (CDD/KYC)
Lecture 2 Why CDD and KYC Measures are Required in Financial Institutions
Lecture 3 Topics Covered in this CDD and KYC Compliance Course
Lecture 4 The Importance of Customer Due Diligence and Know Your Customer (CDD/KYC)
Section 3: Customer Due Diligence (CDD)
Lecture 5 What is Customer Due Diligence (CDD)
Lecture 6 Customer Due Diligence (CDD) Process, CDD Requirements and CDD Aims
Lecture 7 Customer Due Diligence (CDD) of a Corporate Client
Lecture 8 CDD Information Requirements for Corporate Clients
Lecture 9 CDD and Monitoring of Transactions
Lecture 10 Example 1 - Normal CDD Case - Corporate Client
Lecture 11 Example 2 - Suspicious CDD Case - Corporate Client
Lecture 12 What Financial Institutions Should Do and Should Not Do - CDD?
Lecture 13 3 Types of Customer Due Diligence (Simple, Standard and Enhanced)
Lecture 14 Explanation of Enhanced Due Diligence (EDD) Measures
Section 4: 3 Major Types of Customers for Financial Institutions
Lecture 15 3 Major Types of Customers for Financial Institutions (Low. Moderate and High)
Lecture 16 Quiz - Types of Customers
Section 5: Adverse Media, Uses, Sources and Its Importance in CDD/KYC Compliance
Lecture 17 What Is Adverse Media, What are Its Sources, Uses and Importance in CDD/KYC
Section 6: Customer Due Diligence - Risk Identification and Control Mapping
Lecture 18 Customer Due Diligence - Risk Identification, Risk Statement and Control Mapping
Section 7: Know Your Customer (KYC)
Lecture 19 Understanding Know Your Customer (KYC)
Lecture 20 Purpose and Aims of Know Your Customer (KYC)
Lecture 21 Initial KYC Information Requirements
Lecture 22 Understanding Electronic Know Your Customer or eKYC
Lecture 23 Identification of Suspicious Person or Transaction at KYC Stage - What To Do?
Lecture 24 Capabilities of e-KYC Measures
Lecture 25 eKYC Frauds
Lecture 26 eKYC Fraud Prevention Measures for Institutions
Section 8: Types of Screening
Lecture 27 Politically Exposed Person (PEP) Screening
Lecture 28 Example PEP Screening
Lecture 29 Sanction Screening
Lecture 30 Negative Media Screening
Lecture 31 Example Negative Media Screening
Lecture 32 What Institutions Should Do -Targeted Sanction Designated Proscribed Persons
Lecture 33 Designated and Proscribed Persons - Screening and Other Requirements
Section 9: Money Laundering and Anti Money Laundering (AML)
Lecture 34 What is Money Laundering
Lecture 35 Purpose of Money Laundering
Lecture 36 Why Money Laundering Occurs
Lecture 37 Institutions Exposed to Financial Crime Risks including Money Laundering Risks
Lecture 38 Example 1 - Money Laundering Activity
Lecture 39 Example 2 - Money Laundering Activity (Business Case)
Lecture 40 Example 3 - Money Laundering Activity - Restaurant Chain Business
Lecture 41 What is Anti-Money Laundering (AML)
Lecture 42 Purpose of Anti-Money Laundering (AML)
Section 10: Internal and External AML, CDD and KYC Compliance Sources
Lecture 43 List of Internal and External AML, CDD and KYC Compliance Sources
Lecture 44 Purpose of AML, CDD and KYC Compliance Sources
Lecture 45 Test of Knowledge - Compliance Sources
Lecture 46 Answers to Test of Knowledge - Compliance Sources
Section 11: Overview of Bank Secrecy Act (BSA) CDD Requirements
Lecture 47 Overview of Bank Secrecy Act (BSA) - CDD Requirements
Section 12: Financial Action task Force (FATF) CDD, Wire Transfers and PEPs Recommendations
Lecture 48 Overview of FATF Recommendations on Customer Due Diligence (CDD)
Lecture 49 FATF Recommendations - When to Perform CDD Measures
Lecture 50 FATF Recommendations - Wire Transfers
Lecture 51 FATF Recommendation - Politically Exposed Persons (PEPs)
Lecture 52 FATF Recommendation - Example Performing EDD for PEP Account
Lecture 53 High Risk Accounts - NGO NPO Charity Accounts - Overview of AML/CDD Requirements
Section 13: KYC Governance Model, Roles of Board, Committees and Function
Lecture 54 KYC Governance Model and Structure
Lecture 55 Board Level and Management Level Compliance Committees
Lecture 56 Management Compliance Committee Model
Lecture 57 Roles of Board Level Compliance Committee (BCC)
Lecture 58 Roles of Management Compliance Committee (MCC) - CDD KYC
Lecture 59 Roles of Compliance Function
Lecture 60 Further Roles of Compliance Function
Lecture 61 Coordination and Reporting by Compliance Function
Section 14: Case Scenarios - AML/CDD/KYC
Lecture 62 Scenario 1 - Account Opening Investigation and Enhanced Due Diligence Actions
Lecture 63 Scenario 2 - Fake Accounts Investigation and Compliance Actions Taken
Compliance Professionals, Compliance Officers, CCO, AML Analysts, Account Opening Officers, Money Laundering Reporting Officers (MLROs), Compliance Risk Managers, Transactions Investigators, Internal Auditors, Branch Managers, Operation Managers,Chief Risk Officers (CROs), Risk Managers, Risk Analysts, Risk Officers,Professionals working in Banks, Money Service Businesses (MSBs), Payment Gateways, Remittance Companies, DNFBPs,,Professionals such as Accountants, Lawyers, Risk Managers
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