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Description
Introduction
Take part in our "Anti Money Laundering (AML) for Funds - Implementation" training to master AML and CFT regulations. Understand the due diligence process for direct investors, correspondents and third party introductions. Explore the responsibilities of actors, the risk-based approach (RBA) and applicable guidelines. Practical examples will enrich your understanding. Get ready to effectively protect the fund industry against money laundering and terrorist financing.
Objectives
- The regulatory framework AML and CFT
- responsibilities
- The risk-based approach
- The due diligence process on direct investors, correspondents, third party introducers, etc.
Programme
- Regulatory Framework
- General overview of the AML/CTF legislation in place, i.e laws versus grand ducal regulation versus CSSF circulars and regulations
- Other standards to take into consideration: FATF, Wolfsberg
- The upcoming 4th AML directive in a nutshell
- The 2006 ALFI guidelines versus the 2013 ones
- Anti Money Laundering and Combating Terrorist Financing Responsibilities
- Role, responsibilities and obligations of each actor, (i.e. the management company, the transfer agent, the global distributor and the distributors, the custodian bank)
- What are the links and interactions between the different actors, who relies upon whom, key questions to ask?
- Practical examples
- The Risk Based Approach (RBA)
- Definition of the RBA principles, reference to FATF and Wolfsberg guidance
- Key criteria for an efficient RBA
- What are the benefits?
- The Due Diligence Process
- Definition and application
- A process applicable to the different actors
- Different types of due diligence linked to different type of risks
- Risk assessment and ongoing monitoring
- Direct Investor Due diligence
- Definition and application
- Practical examples
- Correspondent Relationship Due Diligence
- Definition and application
- Practical examples
- Third Party Introducers and Outsourcing
- Questions and answers
Conditions
Course Material
Please note that for environmental reasons no paper version of the training material will be provided for your training. The course material can be downloaded free of charge via your portal before the start of the course (download the Client Portal User’s Guide here). You will be able to view it on the screen of your mobile device or print it if necessary. If your registration has been made by a training manager of your company please contact him/her so that he/she can give you access to it or send it to you.
Examen
For this training course, an optional exam is available. In case of interest, candidates can choose a date from the list of proposed examinations sessions. Registration for the exam must be made at least five days before the chosen exam date. The exam is subject to a registration fee.
Certificat
At the end of the training, the participants can download a certificate of attendance from their client account of House of Training.
Location
L-1615 Luxembourg
Luxembourg
Sessions et horaires
Durée 1H30
Lieu Chambre de Commerce Luxembourg
- mar. 08.07.2025 08:45 à 11:45
- jeu. 10.07.2025 08:45 à 11:45
- mar. 15.07.2025 08:45 à 11:45
- mar. 16.09.2025 08:45 à 11:45
- mar. 23.09.2025 08:45 à 11:45
- jeu. 25.09.2025 08:45 à 11:45
- mar. 30.09.2025 08:45 à 11:45
- mar. 07.10.2025 08:45 à 11:45
- mar. 14.10.2025 08:45 à 11:45
- mar. 21.10.2025 08:45 à 11:45
- mar. 28.10.2025 08:45 à 11:45
- jeu. 30.10.2025 08:45 à 11:45
- mar. 11.11.2025 08:45 à 11:45
- mar. 25.11.2025 08:45 à 11:45
- jeu. 27.11.2025 08:45 à 11:45
- mar. 02.12.2025 08:45 à 11:45
- jeu. 04.12.2025 08:45 à 11:45
- mar. 09.12.2025 08:45 à 11:45
- jeu. 11.12.2025 08:45 à 11:45
- mar. 16.12.2025 08:45 à 11:45
- jeu. 18.12.2025 08:45 à 11:45
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