Sanctions (Certificated)

課程代號 : 94908

課程時數 : 1小時

線上講師 : Dr. L.T.

開課時間 :隨報隨上

定價 : 500元

點數價 : 48 (相當於現金480元,约9折) 購買點數


優惠方案 :



With the trend of increasing regulatory scrutiny and penalty, it is, therefore, very important to understand and comply with the sanctions laws and regulations. The cost of failing to comply can be catastrophic, both financially and in terms of reputation. This course covers sanction concepts, international resolutions and laws and this course has been developed to provide an understanding of the purpose of sanctions and what is required while complying with sanctions.

※Compliance and Internal Audit Certification Training※


This course has been designed to provide training for all staff working in banking, finance and related industry. This course is suitable for who with responsibility for, or involvement in, the development or implementation of compliance policies and procedures. It will also highly benefit those with duties requiring compliance.


  1. 繳費完成,且經本院確認無誤後,三個工作天內即以E-mail通知上課資訊。
  2. 本課程閱讀期間為30天(自寄出開班訊息E-mail後的次日起算),閱讀期間內,可不限次數、24小時上網研習課程。


  1. Total time of learning must exceed 1hr 21min.
  2. Please fill in post-course survey.
  • Deadline: Please complete the online test within 7 days after the last day of learning perio.
  • Time: 20 minutes.
  • Type: 10 true-false and mutiple-choice questions.
  • Score: Each question is worth 10 points. The total is 100 points. You must score at least 60 points to pass the test.
  • Makeup Test: Those who fail to get 60 points or do not complete online test within 7 days after the last day of learning period, should take a makeup test within 14 days. Please note that you can take makeup test only once.

※In order to ensure the smooth accumulation of course hours, make sure to switch chapters every 30 minutes. If you can’t use the course for some period of time, please close all course windows.


  1. Hardware: Broadband Internet
  2. Operating System: Windows 7 or higher
  3. Browser Support: Chrome, Firefox, Safari

    Content Format: HTML5 (available for mobile, tablet and PC)


Basic Sanction Concepts
  1. Definition and purpose
  2. Types and measures
International Resolutions and Laws
  1. United Nations Security Council resolutions
  2. Global sanctions regimes
  3. USA Act
  4. U.S. sanctions programs
Sanctions-setting Bodies
  1. Sanctions-setting bodies
  2. SDN list
The Consequences of Violating Sanction0.01
Sanctions, Licensing and Exemptions
  1. Blocked transactions and prohibited transactions
  2. General licenses and general licenses
  3. Exemptions
Risk Assessment
  1. Risk factors
  2. Quantity of risk matrix
OFAC Compliance Program
  1. Internal controls
  2. Independent testing
  3. Responsible individual
  4. Training
Enforcement Actions0.03
Screening System
  1. SDN list search
  2. A screening example
Trends and Developments
  1. Recent trends and developments
  2. Risk-based compliance system
  3. Use of digital currency
  4. New types of sanction targets
  5. New avenues for sanctions
  6. U.S. dollar jurisdictional hook
  7. NYSDFS Part 504
  8. NYSDFS Part 500
Case Study
  1. Background information
  2. Violations of sanction laws and regulations
  3. Enforcement actions
End-of-course Assessment0.09


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