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Course CatalogCatalog: 09. Financial Services Specialization

Courses listed in this catalog focus on addressing key business, legal and regulatory concepts related to anti-bribery/anti-corruption issues specific to the financial services industry. Required courses for this specialization are listed below and have been denoted with an *.

  1. Anti-Money Laundering*
  2. World Bank Sanctions System and Anti-Corruption Efforts*
  3. Anti-Bribery Challenges in the Financial Services Industry*
  4. Anti-Corruption Risk for Private Equity Firms Dealing with Sovereign Wealth Funds*
  5. What to Know About Offshore Shell Corporations in the Wake of the Panama Papers
  • Sub-Catalogs (0)
  • Courses (8)
Course

Anti-Corruption Risk for Private Equity Firms Dealing with Sovereign Wealth Funds

Credits: 1
Asheesh Goel and Lee Stein will discuss the challenges that private equity firms must address when dealing with sovereign wealth funds. They will discuss best compliance practices for private equity firms and encourage discussion around this newly-identified area of exposure.
Course

World Bank Sanctions System and Anti-Corruption Efforts

Credits: 1
World Bank Sanctions System and Anti-Corruption Efforts
Course

Anti-Bribery Enforcement & Compliance Challenges in Canada

Credits: 1
Participants will hear a summary of the Canadian anti-bribery law and will receive an update on enforcement, including efforts by the RCMP anti-bribery task force. Mr. Klotz will discuss compliance challenges specific to companies operating in Canada, together with recent compliance initiatives there.
Course

What to Know About Offshore Shell Corporations in the Wake of the Panama Papers

Credits: 1
While there is nothing inherently illegal about offshore shell corporations, they are often used by criminals to mask an array of illegal financial activities, including tax evasion, bribery, money laundering and sanctions evasion. During this course benefit from a comprehensive overview of offshore shell corporations and how corrupt officials, terrorists and cybercriminals can utilize shells to engage in business with legitimate corporations and conceal the occurrence of illegal activity.
Course

Anti-Bribery Challenges in the Financial Services Industry

Credits: 1
Noreen M. Fierro, Vice President and Corporate Counsel for Prudential Financial, will provide an overview of the unique challenges faced by financial services firms operating internationally, including traditional areas of risk as well as the recent issues presented by increased activities with sovereign wealth funds.
Course

The U.S. Securities and Exchange Commission: Enforcement Tools and Priorities

Credits: 1
Linda Chatman Thomsen, Partner at Davis Polk & Wardwell LLP and formerly the Director of the SEC’s Division of Enforcement, will provide an overview of how the SEC investigates potential violations of the federal securities laws, with a particular focus on the agency’s approach to FCPA enforcement. Ms. Thomsen will discuss the SEC’s specialized FCPA unit, as well as its new cooperation initiative and the expected impact of the Dodd-Frank whistleblower provisions.
Course

Spotlight on Iran Sanctions: Addressing Recent Changes to Global Regulatory Regimes and the Impact on Multi-National Corporations

Credits: 1
During this session benefit from a comprehensive overview of recent changes to the Iran sanctions regime, including an update on global sanctions regulations as well as practical recommendations for ensuring compliance across your global operations.
Course

Anti-Money Laundering

Credits: 0.5
Anti-Money Laundering
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