Licence for AML Officers

Licence for AML Officers – Basic seminar on the duties listed in §21 PrüfbV (Audit Report Regulation) and the 4th Money Laundering Directive

> Complete overview of the latest developments in 2016

> Interpretation and application notes of the German Banking Industry
Committee (AuADK)

> Limitation of the personal liability risks for the AML officer

> Which approaches exist to avoid financial losses and liability cases?

> Due diligence obligations and action strategies in practice

 

Licence for AML Officers – Target group:

Managing directors, board members, financial service providers, insurance companies, leasing- and factoring companies, AML officers, deputy AML officers, designated representatives, professional and managerial staff in the field of compliance, central office, internal audit and members of the legal department

 

Licence for AML Officers – Your benefits:

Optimal limitations of the risk of liability cases
Tasks, rights and obligations – Safe realisation of the § 21 PrüfbV duty list
Due diligence obligations and action strategies
Test security at the prepartion of the risk analysis

 

Licence for AML Officers – Your advantage:

Each participant receives the following S&P products:

+ guideline for the direct implementation of the anti-money laundering and fraud system (No. of pages: approx. 80)

+ guideline for the preparation /update of a risk analysis (No. of pages: approx. 20, Word doc.)

+ certificate of participation  as verification of the advanced training and certification proof for submission to the BaFin for examination

 

Licence for AML Officers – Seminar Registration

Register here for the seminar:

Licence for AML Officers

 

Program

09:15 am

Welcome/Coffee and tea

 

09:30 am – 13:00 pm

Licence for AML Officers – Limitation of the personal liability risks for the AML officer – Exchange of experience and discussion of current developments

 

13:00 pm – 14:00 pm
Lunch

 

14:00 pm – 17:30 pm

Licence for AML Officers –
Due diligence obligations of AML officers – 4th EU Money Laundering Directive
Minimum requirements for audit and control activities – risk analysis

 

From 17:30 pm

Summary

 

Content

Thematic focus I

 

Licence for AML Officers – Optimal limitations of the risk of liability cases for representatives / the central office

> Liability-related guarantor status  – BGH (Federal Court of Justice)  judgement of 17 Juli 2009 on the responsibility of representatives – „Siemens-/Neubürger“-judgement of 10th december 2013 on the compliance system

> Limitation of the risk of liability cases for AML officers and representatives of the central office –Minimum requirements to the internal organizational measures

> How do risk controlling, compliance, AML officers and internal audit work together?

> 5 steps for the optimal risk limitation of representatives

 

Thematic focus II

 

Licence for AML Officers – Tasks, rights and obligation of the central office – Safe realization of the § 21 PrüfbV duty list

> Which requirements have to be obeyed by the AML officer?

> Competence centre AML officer: tasks, rights and obligations of the central office (AML officer and representative for economic crime)

> Case studies and practical cases: establishment of appropriate safety measures, development of action strategies, emergency and escalation procedures

> Risk management, control measures and audit procedures of the central office

>Suspicion reports and behavior in the case of suspicion

 

Tips for implementation
Implementation of the S&P Checklist on the duty criteria according to § 21 Audit Report Regulation

 

Thematic focus III

Licence for AML Officers – Due diligence obligations and action strategies of the AML officer in practice

> Overview of the due diligence obligations – Interpretation and application notes of the German Banking Industry Committee for prevention money laundering, terrorist financing and „other offenses“ (AuADK)

>Target-oriented implementation of the due diligence obligations by the AML officer

> Identification procedures

>Recognition and monitoring of politically exposed people and high-risk customers

> Target-oriented embargo and sanction monitoring – What do I have to take into account?

Tips for implementation

+S&P work instructions on the defence of money laundering and economic crime

 

Thematic focus IV        

Licence for AML Officers – In which areas did serious acts of economic crime take place in the past?

> Characteristics, motives and typical profiles of offenders

>Action strategies for unusual and conspicious business relationships or transactions

> Special measures against fraudulent activities or any other criminal offenses

> Fight against fraud according to § 25h KWG: emergency response, preventive measures and immediate measures

> Application notes, case studies and practical experience

Tips for implementation
+ S&P guideline on the fight against fraud and the defence of any other criminal offences
+ S&P Checklist on the prevention of external and internal offenses

 

 

 

Thematic focus V

Licence for AML Officers – Test security at the preparation / update of the risk analysis – organization of the system of registration of suspicion cases

> 4th EU Money Laundering Directive – Latest supervisory and audit relevant requirements

>Development, structure and content of a risk analysis with the focus on money laundering and economic crime

> Risk inventory and audit-proof classification of risks

> New instructions of interpretation and implementation on the system of registration of suspicion cases

>When and how to report suspicions?

> Report of suspicions – Interfaces to investigating authorities

Tips for implementation

+ S&P guideline on the actualisation and update of a risk analysis

+ S&P Checklist for a legally compliant suspicion

 

 

Licence for AML Officers – S&P Expert Services

Rating analysis & Rating optimisation for better interest rates

Restructuring of the liabilities side & Refinancing

Capital structure optimisation & Costs optimisation

Financial planning & Liquidity requirements

Business valuation according to IDW Standard S1

Recruitment & Restructuring according to IDW-Standard S6

Intangible value assets according to IDW-Standard S5

Licence for AML Officers – S&P Accounting & Controlling services

Total revenue

Calculation & Contribution margin accounts

Growth-focused controlling tools

Financial planning & Liquidity planning

Working capital analysis & Controlling

Preparation of bank credit reports

Business planning & Rating solutions

Business & Rating planning

Licence for AML Officers – S&P Services for Personnel Development

Target system & Management system

Establishment of transparent management organization

Implementation of effective controlling tools

Introduction of SMART target system

Systems for employee assessments

New payment systems & Systems for employee assessments

Manager selection

Successor search

Licence for AML Officers – S&P Sales Services

Establishment of lean sales

Selection of sales channels

Employee training of sales conversations

Introduction of controlling tools for selling

Licence for AML Officers – S&P Services for Interim Management & Management Support

Company management support – Preparation & Bank negotiations

Interim management

Corporate valuation

Successor search & Corporate legislative rules

Company sales organization

Consulting services

Licence for AML Officers – S&P Services for Banks, Financial Services Providers, Factoring- & Leasing Companies, Insurance & Pension Funds

SP-Partners – SP-Studies – SP-Tools – SP-Checks

SP-Partners – Asset management & Management of own securities deposits

SP-Partner – Risk management requirements for rating & Investment credit analysis

SP-Partners – Development of management of own securities deposits

SP-Partners – Selling management

SP-Partners – Establishment of sales credit analysis

SP-Partners – Products for private & Corporate customer business

SP-Partners – Consulting services for entrepreneurs

SP-Partners – Risk management & Compliance

SP-Partners – Minimum requirements for risk management – Compliance

SP-Partners – Risk control – Function

SP-Partners – Concepts of Risk management

SP-Partners – Risk scenarios & Stress tests

S&P Partners – Minimum requirements for risk management (MaRisk) – CRD IV – CRR – Minimum requirements for compliance (MaComp) – Alternative Investment Fund Managers (AIFMD)

SP-Partners – Money-laundering & Fraud

SP-Partners – Management & Human resources development

SP-Partners – Strategic personnel recruitment

SP-Partners – Development of advanced education concepts – Seminars – Inhouse trainings

Licence for AML Officers – Information for Finances

SP-Partners – European banking regulations – Asset quality review – ECB-manual

SP-Partners – Strategies – Banks transformation – Restructuring

SP-Partners – Corporate continuity – Emergency planning

SP-Partners – Money-laundering – Risk analysis – Anti fraud

SP-Partners – Compliance system – Minimum requirements for compliance (MaComp) – The Securities Trading Act Compliance

SP-Partners – Risk management – Basel III – Minimum requirements for risk management (MaRisk)

SP-Partners – Banks – Risk-bearing capacity – Capital planning

SP-Partners – Liquidity pricing system

SP-Partners – Banks – Stress plan – Restructuring plan

SP-Partners – Financial services provider – Authorization – Registration

SP-Partners – Insurance companies – Minimum requirements for risk management (MaRisk)

SP-Partners – Factoring – Leasing

SP-Partners – Interest rate risks – Banking book

SP-Partners – Administrative board – Supervisory board

Licence for AML Officers – S&P Services for Medium-sized Businesses & Companies

SP-Partners – SP-Studies – SP-Tools – SP-Checks

SP-Partners – Rating optimization

SP-Partners – Interim management

SP-Partners – Liquidity check

SP-Partners – Succession – Successor data base

SP-Partners – Bank negotiations

SP-Partners – Corporate valuation

SP-Partners – Future prospects

SP-Partners – Business strategy

SP-Partners – Risk management system

SP-Partners – Credit strategy

SP-Partners – Working capital

SP-Partners – Interest rate strategy

SP-Partners – Interest rate cockpit

SP-Partners – Rating of medium-sized companies

SP-Partners – Country rating

Licence for AML Officers – Information for Medium-sized Companies

SP-Partners – Sector comparison – Competitive analysis – Key figures

SP-Partners – Financial resources – Subsidy

SP-Partners – S&P interest rate-cockpit

SP-Partners – Corporate valuation – Succession – Successor data base

SP-Partners – Price management – Pricing knowledge

SP-Partners – Corporate planning – Strategy

SP-Partners – Risk management

SP-Partners – Liquidity planning – Company funding – Basel III – Treasury management

SP-Partners – Research – Development

SP-Partners – Economic crime – Anti fraud – Compliance

SP-Partners – Money-laundering – Risk analysis – Preventive measures

 

Licence for AML Officers – Corporate Management

Training corporate management education: Business management

Training corporate management education: Controlling education

Training corporate management education: Management analysis

Training corporate management education: Leadership education

Training corporate management education: Labour law education

Training corporate management education: Training corporate culture education

Training corporate management education: Business management training

Training corporate management education: Certified chief executive officer (CEO)

Training corporate management education: Risk management education

Licence for AML Officers – Leadership Education – Communication – Team Development

Training leadership: Training leadership skills

Training leadership: Leadership education

Training leadership: Conflict education – Training conflict resolutions

Training leadership: Leading high performance teams – Team leadership

Training leadership: Target agreement – Delegation skills – Motivation skills

Training leadership: Decision-making policy

Training leadership: Project management education

Training leadership: Leadership style – Staff development

Training leadership: Training leadership education

Training leadership: Building of high performance teams – Team leadership

Training leadership: Leadership development

Training leadership: Decision-making process

Training leadership: Project management tools

Training leadership: Conflict management policy

Training leadership: Management & Leadership

Training communication education: Management assistant

Training communication education: Motivation skills – Communication performance – Time management

Training communication education: Project management education – Leadership style – Communication

Training communication education: Time management techniques – High performance results

Training communication education: Training conflict education

Training communication education: Communication training – Communication tools

Training communication education: Career building – Conducting target agreement meetings

Training communication education: Conflict solutions education

Training team development: How to manage staff !

Training team development: Human resource planning

Training team development: Leadership building

Training team development: Training team building

Training team development: Motivation skills & Staff efficiency

Training team development: Human resources education – Recruitment training

Training team development: Decision-making process

Training team development: Building of high performance teams – Team leadership

Training team development: High performance development

Training team development: People management skills

Licence for AML Officers – Financial Management & Control

Finance education: Financial management education – Liquidity management

Finance education: Liquidity analysis

Finance education: Leadership performance – Leadership education – Human resources education

Finance education: Business management training

Finance education: Balance sheet analysis

Finance education: Financial management & Liquidity management

Finance education: Business management education

Finance education: Balance sheet

Finance education: Financial reporting training

Licence for AML Officers – Corporate Valuation & Succession

Training corporate valuation: Corporate selling – Business succession

Training corporate valuation: Corporate value – Effective succession

Training corporate valuation: Management succession

Training corporate valuation: Corporate valuation performance

Training corporate valuation: Succession analysis – Leadership education

Training corporate valuation: Conflict management – Family business

Licence for AML Officers – Compliance & Anti Money Laundering

Compliance training: Money laundering management – Fraud management

Compliance training: Anti money laundering – Fraud management

Compliance training: Money laundering process – Fraud management

Compliance training: Fraud training

Compliance training: Fraud management policy

Compliance training: Risk management analysis – Risk assessment policy

Compliance training: Financial crime policy

AML Training: Compliance management – Alternative Investment Fund Managers – Sales professionals

AML Training: Compliance – Anti money-laundering

AML Training: Selling professionals

AML Training: Compliance – New Minimum Requirements for Risk Management

AML Training: Compliance – Bank regulations

Licence for AML Officers – Asset Investment Management

Asset management & Rating valuation: Rating policy – Bank regulations

Asset management & Rating valuation: Asset investment management – Interest rate investment

Asset management & Rating valuation: Bank regulations – Funds transfer pricing system

Licence for AML Officers – Planning & Development

Training planning: Liquidity ratio

Training planning: Financial liquidity

Training planning: Liquidity policy

Training planning: Financial management & Liquidity management

Training planning: Balance sheet policy – Equity optimization – Treasury management

Training planning: Cash flow management – Working capital – Cash flow planning

Training working capital management: Liquidity ratio

Training working capital management: Financial liquidity

Training working capital management: Liquidity policy

Training working capital management: Financial management & Liquidity management

Training working capital management: Balance sheet policy – Equity optimization – Treasury management

Training working capital management: Cash flow management – Working capital – Cash flow planning

Training treasury management: Liquidity ratio

Training treasury management: Financial liquidity

Training treasury management: Liquidity policy

Training treasury management: Financial management & Liquidity management

Training treasury management: Balance sheet policy – Equity optimization – Treasury management

Training treasury management: Cash flow management – Working capital – Cash flow planning

Training cash flow planning: Liquidity ratio

Training cash flow planning: Financial liquidity

Training cash flow planning: Liquidity policy

Training cash flow planning: Financial management & Liquidity management

Training cash flow planning: Balance sheet policy – Equity optimization – Treasury management

Training cash flow planning: Cash flow management – Working capital – Cash flow planning

Training cash flow management: Liquidity ratio

Training cash flow management: Financial liquidity

Training cash flow management: Liquidity policy

Training cash flow management: Financial management & Liquidity management

Training cash flow management: Balance sheet policy – Equity optimization – Treasury management

Training cash flow management: Cash flow management – Working capital – Cash flow planning

Licence for AML Officers – Sales

Training sales: Effective sales

Training sales: Product management & Pricing management

Training sales: Pricing management

Training sales: Pricing education

Training sales: Sales essentials

Training sales: Strategic sales

Training sales: Training pricing management

Training sales: International sales

Training sales: International pricing strategies

Licence for AML Officers – Rating & Bank Negotiations Education

Training accounting: Balance sheet management

Training accounting: Balance sheet policy – Equity optimization

Training accounting: Management analysis – Rating policy

Training accounting: Rating system – Rating essentials

Training accounting: Negotiation education

Training accounting: Training negotiation policy

Training accounting: Rating essentials – Negotiating bank

Training accounting: Mastering financial negotiations – Bank negotiations training

Licence for AML Officers – Project Management Education

Project management education: Project management – Communication performance – Leadership education

Project management education: Project management

Project management education: Conflict management education

Project management education: Training office management – Administrative skills

Licence for AML Officers – Corporate Risk Management

Training risk management: Risk management education

Training risk management: New Minimum Requirements for Risk Management – Capital Requirements Directives – § 25KWG

Licence for AML Officers – Risk Management & Capital Requirements

New Minimum Requirements for Risk Management: New Minimum Requirements for Risk Management – Capital Requirements Directives – § 25KWG

New Minimum Requirements for Risk Management: Funds transfer pricing system

New Minimum Requirements for Risk Management: Compliance – New Minimum Requirements for Risk Management

Licence for AML Officers – All Seminars as Inhouse Trainings

Inhouse: Training corporate valuation

Inhouse: Leadership education – Communication – Team development

Inhouse: Financial management & Control

Inhouse: Training corporate valuation

Inhouse: Fraud education

Inhouse: Planning & Development

Inhouse: Sales

Inhouse: Rating & Bank negotiations education

Inhouse: Project management education

Inhouse: Risk management education

Inhouse: Risk Management – Capital Requirements

Inhouse: Controlling management

Inhouse: Working capital management

Inhouse: Treasury management

Inhouse: Compliance training

Inhouse: Asset investment management

Inhouse: Anti money laundering

Inhouse: Cash flow management

Inhouse: Cash flow planning

Inhouse: Training planning

Licence for AML Officers