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click on the course titles for additional details +
| AML01 |
AML
for Chief AML Officers |
Your
CU Compliance Program, FINTRAC - The Current Situation, Updates
from FINTRAC and Bill C-9, FINTRAC - Added Resources, FINTRAC
Examinations, Action Plans, FINTRAC Timeline, Administrative Monetary
Penalties, Bill C-9, Tax Evasion, Indicators of Tax Evation, Due
Diligence |
| AML02 |
AML
Basics |
What is Money
Laundering?, Stages of Money Laundering - The Wash Cycle, What
is Terrorist Financing?, Money Laundering & Terrorist Financing
- The Act, Compliance and Penalties, FINTRAC, Verifying Identity,
Record Keeping Requirements, Reporting Requirements, Suspicious
Transactions, Identifying Suspicious Transactions and Activities,
Terrorist Property, Prescribed Transactions, Know Your Members
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| AML03 |
AML
for Board and Senior Management |
United
Nations Act, Financial Action Task Force, Corruption of Foreign
Officials, Other Regulatory Bodies, PCMLFTA, AML/ATF Compliance
Programs, Board and Management Oversight, Roles and Responsibilities,
Board Role in Risk Management, Compliance Program Requirements,
Penalties for Non-Compliance, Criminal Penalties, Red Flags |
| AML04 |
AML
Reporting - STRs and LCTRs |
Suspicious
Transactions, What is a Suspicious Transaction, Suspicious Transaction
Reports, Failure to Comply, Red Flags, Large Cash Transactions,
Large Cash Transaction Reports, LCT Report Alternatives, Agent
Agreements |
| AML05 |
AML
Reporting - Wires/EFTs |
EFTs
- Definition, Incoming and Outgoing EFTs, Incoming and Outgoing,
Non SWIFT EFTs, Exceptions to Incoming SWIFT/Non-SWIFT EFTs, Exception
to the 24 hour rule, Identification Requirements, Originator Information,
EFTs in Foreign Currency, Other important checks prior to an EFT
submission:, Red Flags |
| AML06 |
AML
for Lenders |
Money Laundering
in the Lending Industry, Construction Lending, Money Laundering
Through Real Estate, Red Flags, Forfeiture of Illicit Funds, Insurance,
Securities |
| AML07 |
AML
and the Risk-Based Approach |
Canada
and the Financial Action Task Force, What is a Risk-Based Approach,
Risk Assessment, Relationship Risks, Risk Assessment Factors,
Risk Level Assessment Matrix, Legislated and Generic Risk Controls,
Risk-Focussed Controls, Dealing with Members and Risk Measures,
Management's Role in the Risk-Based Approach, Effectiveness of
the Risk-Based Approach, Penalties |
| CORE01 |
Privacy
Matters |
Privacy Laws
PIPEDA and PIPA, 10 Privacy Principles, Standards, Procedures,
Opting Out, Complaints |
| CORE02 |
WHMIS |
Introduction
to WHMIS, WHMIS Labels, Material Safety Data Sheets, Worker Education
and Training, WHMIS Classes and Symbols, Classes A to F - Hazardous
Materials |
| CORE03 |
Workplace
Violence and Harassment |
Workplace
Violence and Harassment Definitions, Persons With a History of
Violent Behaviour and Domestic Violence, Preventative Measures,
Procedures, Practical Defusing Techniques |
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