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Fintelekt-ABA Webinar: Cultural Landscape of AML Compliance (with assessment and certificate)

Course Duration: 1 hour 18 minutes
Course Points: 150

This course allows Premium users to attempt an assessment and download a Participation Certificate.

Fintelekt Advisory Services and the Asian Bankers Association hosted a webinar on Cultural Landscape of AML Compliance on May 5, 2021.

The webinar was moderated by Shirish Pathak, Managing Director, Fintelekt Advisory Services and the speakers were Patrick Kelly, CEO, Paul McCarthy, CTO and Dr. Katy Dineen, Senior Associate from The Mizen Group.

The speakers addressed the cultural landscape of compliance and how cultivating that culture can serve to improve a team’s mindset, skills, and appropriately manage risk while increasing business opportunity.

More specifically, they discussed what is a culture of compliance and why it is so important; recognizing different cultural environments: financial sector vs. corporates; the characteristics of a healthy compliance culture; how innovation and technology can be encouraged to serve compliance needs; and how to bring about cultural change whereby innovative thinking becomes the norm.

Certificate Course: Trade-Based Money Laundering Module 3

In Module 3, the faculty covers measures to be taken by Financial Institutions to prevent TBML, which includes adoption of Risk Based Approach. She talks about some common economic sectors vulnerable to risk and TBML risks and trends. She also covers various components of Risk Assessment and Control of TBML by use of best practices.

Updated: May 2021
Level: Beginner
Inclusions: Assessment, Completion Certificate
Duration: 31 minutes
Points: 60

Trainer: Surinderjit Kaur, Faculty, Fintelekt Advisory Services
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Also available:

Certificate Course: Trade-Based Money Laundering Module 1

Certificate Course: Trade-Based Money Laundering Module 2

Certificate Course: Trade-Based Money Laundering Module 2

In Module 2, the faculty covers Trade-Based Money Laundering (TBML) Techniques and typologies, negative effects of TBML on the economy of a country and challenges faced by financial institutions while dealing with TBML.

Updated: April 2021
Level: Beginner
Inclusions: Assessment, Completion Certificate
Duration: 26 minutes
Points: 50

Trainer: Surinderjit Kaur, Faculty, Fintelekt Advisory Services
View Trainer Bio

Also available:

Certificate Course: Trade-Based Money Laundering Module 1

Certificate Course: Trade-Based Money Laundering Module 3

Certificate Course: Trade-Based Money Laundering Module 1

In Module 1, the faculty covers the basic concepts within AML, trade and TBML, points to the complexities involved in trade documents and the reasons why TBML is so prevalent in international trade.

Updated: April 2021
Level: Beginner
Inclusions: Assessment, Completion Certificate
Duration: 19 minutes
Points: 35

Trainer: Surinderjit Kaur, Faculty, Fintelekt Advisory Services
View Trainer Bio

Also available:

Certificate Course: Trade-Based Money Laundering Module 2

Certificate Course: Trade-Based Money Laundering Module 3

Fintelekt-ABA Webinar: Future-proofing your Financial Crime Compliance Screening

Course Duration: 1 hour 11 minutes
Course Points: 140

Fintelekt Advisory Services and the Asian Bankers Association hosted a webinar on Future-proofing your Financial Crime Compliance Screening on April 7, 2021.

This course allows Premium users to attempt an assessment and download a Participation Certificate.

The speakers were:

  • Shirish Pathak, Managing Director, Fintelekt Advisory Services (Moderator)
  • Srinivas Vaman Gollapudi, Joint President and Business Head – Trade Finance and Commercial Operations, Kotak Mahindra Bank
  • Brent Estrella, Group CCO, Rizal Commercial Banking Corporation
  • Douglas Wolfson, Director – Market Planning, FCC & Payments, LexisNexis Risk Solutions

Key Issues:

  • The challenges around the current regulation and compliance frameworks designed to combat crime
  • Their impact on customer onboarding while increasing false alerts and operational costs
  • Negative impact on the customer experience as a result

Certificate Course: Managing Regulatory Risk Module 3

The Module 3 of this certificate course covers handling requests from government, responding to governments, law enforcement agencies and FIU requirements, requirements under International Agreements (including Foreign Account Tax Compliance Act (FATCA)), caution to be taken by dealing with authorities and managing reputation risk.

Updated: April 2021
Level: Beginner-Intermediate
Inclusions: Assessment, Completion Certificate
Duration: 48 minutes
Points: 90

Trainer: Theresa Karunakaran, Independent Consultant – Compliance and Regulatory Affairs
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Certificate Course: Managing Regulatory Risk Module 2

The Module 2 of this certificate course covers three major real life cases: Westpac Bank, Australia, Yes Bank, India and Russian Roulette at Danske Bank.

Updated: March 2021
Level: Beginner-Intermediate
Inclusions: Assessment, Completion Certificate
Duration: 45 minutes
Points: 90

Trainer: Theresa Karunakaran, Independent Consultant – Compliance and Regulatory Affairs
View Trainer Bio

Certificate Course: Managing Regulatory Risk Module 1

The Module 1 of this certificate course covers importance of maintaining symbiotic relationship with regulators, impact of non-compliance with regulations, the changing regulatory landscape, ways to build trust with regulators, managing disruptions, risks emanating from technology, processes and products, maintaining regulators’ trust, preparing for and managing regulatory interactions, regulatory assessments and the do’s and don’ts of dealing with regulators.

Updated: March 2021
Level: Beginner-Intermediate
Inclusions: Assessment, Completion Certificate
Duration: 66 minutes
Points: 130

Trainer: Theresa Karunakaran, Independent Consultant – Compliance and Regulatory Affairs
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Certificate Course: Ultimate Beneficial Ownership Module 3

The Module 3 of this certificate course covers international norms and approach to beneficial ownership. The trainer covers misuse of corporate entities, forms of direct and indirect ownership and control, international norms of UBO Identification, including FATF Recommendations and information mechanisms adopted by various countries, Beneficial Owner Gap Analysis Tool and two case studies.

Updated: March 2021
Level: Beginner-Intermediate
Inclusions: Assessment, Completion Certificate
Duration: 27 minutes
Course Points: 50

Trainer: Debmalya Maitra, Senior Director, BFSI at Chokshi Group
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Fintelekt-ABA Webinar: Conducting Enterprise-Wide AML/CFT Risk Assessment

Course Duration: 1 hour 14 minutes
Course Points: 145

Fintelekt Advisory Services and the Asian Bankers Association hosted a webinar on Conducting Enterprise-Wide AML/CFT Risk Assessment on March 3, 2021.

This course allows Premium users to attempt an assessment and download a Participation Certificate.

The speakers were:

  • Shirish Pathak, Managing Director, Fintelekt Advisory Services (Moderator)
  • Madhu Sinha, Independent AML Compliance Professional and Former Head of AML, Citi Bank India
  • Stephen Cutler, Chief Enterprise Risk and Compliance Officer, Omnipay

Key Issues:

  • The importance of comprehensive and ongoing EWRAs
  • Ensuring comprehensive inclusion of risks
  • Regulatory expectations & international standards
  • EWRA on a budget – managing costs & resources
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