課程名稱 | 授課大綱 | 時數 |
Introduction | | 0.05 |
Money Laundering Concepts | - Three stages of ML
- ML cycle
| 0.1 |
International Standards and Laws and Regulations | - FATF 40 recommendations
- USA anti-money laundering laws
| 0.3 |
Risk Assessment | - Risk-based approach (RBA)
- Risk assessment
| 0.15 |
BSA/AML Compliance Program | - BSA/AML Compliance Program
- System of internal controls
- Independent testing
- AML compliance officer
- Training
- CIP / KYC
| 0.15 |
Customer Due Diligence/ Know Your Customer | - Customer Due Diligence
| 0.1 |
Recordkeeping and Reporting | - Recordkeeping and Reporting
- Reporting requirements
| 0.1 |
SAR Monitoring and Reporting | - SAR monitoring
- SAR reporting
| 0.1 |
Financial Sanctions | - OFAC risks
| 0.1 |
Enforcement Actions | - Enforcement actions
| 0.05 |
Latest Developments and Trends | - Latest developments and trends
- Part 504 regulation
- Part 500 cybersecurity requirements
- Third-party payment processors
- Remote deposit capture
- Stored value card relationship
| 0.05 |
Case Study | - Background information
- Compliance program deficiencies
- Violations of laws and regulations
| 0.1 |
Conclusion | | 0.05 |
End-of-course Assessment | | 0.1 |