intermediate

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

Course Duration: 1 hour 18 minutes
Course Points: 75

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.

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

Course Duration: 1 hour 11 minutes
Course Points: 70

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: 45

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: 45

Trainer: Theresa Karunakaran, Independent Consultant – Compliance and Regulatory Affairs
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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: 65

Trainer: Theresa Karunakaran, Independent Consultant – Compliance and Regulatory Affairs
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FATF Plenary February 2021: Outcomes and Interpretation

Daniel Thelesklaf, International AML/CFT and Anti-Corruption Expert provides a round-up of the outcomes of the FATF Plenary Meeting which was held virtually from February 22 to 25, 2021. Despite the pandemic, the FATF has kept up with its planned timelines and the developments in this latest plenary are relevant for the public and private sectors alike. Daniel explains the rationale behind FATF’s recent report on risk-based supervision, highlighted also by FATF Executive Secretary David Lewis at Chatham House recently. Daniel also covers strategic initiatives in the areas of proliferation financing, mitigating risks from virtual assets and terrorism financing. He also covers key results of the mutual evaluation of New Zealand, changes to the gray list, and ends with an outlook on what may be coming in the area of beneficial ownership.

Updated: March 2021
Level: Intermediate
Duration: 27 minutes
Course Points: 25

Trainer: Daniel Thelesklaf, International AML/CFT and Anti-Corruption Expert
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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: 25

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: 70

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

Certificate Course: Ultimate Beneficial Ownership Module 2

The Module 2 of this certificate course covers methods of establishing beneficial ownership and source of funds. The trainer talks about the characteristics of a beneficial owner, global definitions of a beneficial owner, characteristics of an effective framework for identification of beneficial ownership, measures that must be taken to enhance transparency and ways to overcome obstacles to increase transparency and common red flag indicators.

Updated: March 2021
Level: Beginner-Intermediate
Inclusions: Assessment, Completion Certificate
Duration: 38 minutes
Points: 35

Trainer: Debmalya Maitra, Senior Director, BFSI at Chokshi Group
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Certificate Course: Ultimate Beneficial Ownership Module 1

The Module 1 of this certificate course covers risks associated with legal persons, Politically Exposed Persons, Corporate Vehicles and Arrangements. The trainer covers challenges faced by obliged entities, common methods of misuse of beneficial ownership, regulations and obligations relating to beneficial ownership, customer due diligence process, risk mitigation measures and a case study.

Updated: February 2021
Level: Beginner-Intermediate
Inclusions: Assessment, Completion Certificate
Duration: 38 minutes
Points: 35

Trainer: Debmalya Maitra, Senior Director, BFSI at Chokshi Group
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