Financial Crime Risks Summary presentation

Pizza Express
Thursday, 13 August 2015
5:30 pm

Time: A pizza buffet will be available from 5.30pm for a 6pm start at Pizza Express 32-34 Earl St, Maidstone, Kent ME14 1PF
Speaker: Gareth Dunmill - Financial Crime Officer, Assistant Vice President - Corporate Risk & Compliance, Locktons

The presentation will summarise the financial crime risks faced by the market now that the FCA have made it a key area of focus as part of their business plan. Gareth Dunmill will talk about financial crime risks faced by brokers and the market, specifically looking at key risks to firms when dealing with third parties and how to potentially mitigate those risks. He will touch on reviewing and enhancing existing customer due-diligence procedures at take-on. There are also sections looking at sanctions screening and adverse information, bribery and corruption on an international scale, gifts and entertainment and the importance of Management Information.

Learning Objectives
By the end of this session, delegates will be able to describe:
-the 2015 financial crime landscape and the major threats it poses to brokers.
-the key financial crime risks posed to brokers in respect of Sanctions, Bribery and Corruption and Politically Exposed Persons (PEPs)
-how to identify suspicious third party payments and relationships.
-why a broker needs to screen its clients & monitor transactions.
-how to use a risk based approach to determine the right financial crime control framework

Places are limited, so please contact James Woolerton to book your place by Tuesday 4th August at the latest and advise if you have any special dietary requirements.

  • Pizza Express
  • 32-34 Earl Street
  • Maidstone
  • ME14 1PF
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