Bộ Tài Liệu Toàn Diện Về Tuân Thủ Lệnh Trừng Phạt Chống Rửa Tiền (AML)

This course is a complete, basic to advanced, walkthrough for Sanctions Compliance, going from sanction types, regulatory bodies and authorities, different regulations and jurisdictions, but also a more in depth view of certain KYC and AML requirements,  Suspicious Activity Reporting (SAR or STR), sanctions procedures, screening, ownership, sanctions exceptions and exemptions, case studies of failure and success stories, as well as some advanced topics such as blockchain and DLT, AI and Machine Learning, cryptocurrency and digital assets, evasions and whistleblower protections, and much, much more!

Once you have completed the entire course you will receive via Udemy message all the presentations and articles used in the course in .pdf format (Complete Sanctions Manual).

Besides Udemy's certificate, we additionally offer a Personalized Certificate of Completion issued by The Elite Compliance Group, upon request. To obtain yours, simply send us a private message through Udemy, including the name you'd like to see on the certificate.

Please consider that due to high demand, the certificates are processed and issued at the end of each month. For instance, if you request a certificate in January, it will be issued in February.

Below you can find the full course index.

The course also contains small questionnaires for you to check your acquired knowledge for some of the sections.

Full Course Index:

• Section 1: Introduction to Sanctions Compliance

  • 1.1 Overview of Sanctions Compliance

    • 1.1.1 Definition and Purpose

    • 1.1.2 Importance in Financial Markets

    • 1.1.3 Historical Context

  • 1.2 Types of Sanctions

    • 1.2.1 Economic and Financial Sanctions

      • Asset freezing and the release of funds

    • 1.2.2 Trade Sanctions

      • Export-controlled goods are susceptible to trade sanctions

    • 1.2.3 Targeted Sanctions

      • Comprehensive sanctions vs. targeted sanctions

    • 1.2.4 Sanctions by industry type

      • Sanctions Exceptions

  • 1.3 Regulatory Bodies and Authorities

    • 1.3.1 Key Regulatory Agencies

    • 1.3.2 Important organizations

    • 1.3.3 Role of Government Authorities

    • 1.3.4 International Sanctions Frameworks

• Section 2: Sanctions Compliance Regulations

  • 2.1 Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF)

    • 2.1.1 AML/CTF Basics

    • 2.1.2 Customer Due Diligence (CDD)

    • 2.1.3 Suspicious Activity Reporting (SAR or STR)

  • 2.2 European Union (EU) Sanctions

  • 2.3 United Nations (UN) Sanctions

    • 2.3.1 Example of UN Sanctions

  • 2.4 United States (US) Sanctions

    • 2.4.1 Sanctions regime in the US

      • 2.4.2 US Regulatory Agencies

  • 2.5 United Kingdom (UK) Sanctions

  • 2.6 Unilateral Sanctions

• Section 3: Sanctions Compliance Procedures

  • 3.1 Developing a Sanctions Compliance Program

    • 3.1.1 Building a Compliance Team

      • A solid SCP framework

      • Management commitment and a compliance culture

    • 3.1.2 Risk Assessment and Mitigation

      • Internal controls

      • Auditing and testing

    • 3.1.3 Training and staying up to date

      • Keeping up with sanctions

      • Sanctions easing and lifting

  • 3.2 Due Diligence and Screening

    • 3.2.1 KYC

      • KYC Requirements

      • KYC due diligence

      • Enhanced sanctions due diligence

    • 3.2.2 Ownership

      • Control, ownership, and transparency

      • The OFAC 50% rule

      • Ownership and control in the EU and UK

      • Beneficial ownership concealment

    • 3.2.3 Screening

      • What exactly is sanctions screening, and how does it work?

      • Different types of sanctions screening

    • 3.2.4 Customer and Transaction Screening

    • 3.2.5 Adverse Media Screening

    • 3.2.6 Third-Party Risk Management

  • 3.3 Transaction Monitoring and Reporting

    • 3.3.1 Real-time Transaction Monitoring

    • 3.3.2 Suspicious Activity Reporting (SAR)

    • 3.3.3 Compliance Software and Tools

  • 3.4 Sanctions Exceptions Handling

    • 3.4.1 Sanctions exemptions and licenses

    • 3.4.2 Licensing sanctions grounds

    • 3.4.3 Humanitarian licenses used effectively

  • 3.5 Sanctions Violations and Breaches

    • 3.5.1 Inadvertent sanctions violations

    • 3.5.2 Consequences of failing to comply with sanctions

      • Confronting a Sanction Violation

      • Self-reporting a suspected sanction breach

      • Management of incidents as part of a SCP

• Section 4: Case Studies and Real-World Examples

  • 4.1 Notable Sanctions Compliance Failures

    • 4.1.1 Compliance Scandals in Financial Markets

      • Consequences of Standard Chartered's 2012 Sanctions Violation

      • Lessons Learned from Standard Chartered's 2012 Sanctions Violation

  • 4.2 Success Stories

• Section 5: International Considerations in Sanctions Compliance

  • 5.1 Understanding Jurisdictional Issues

  • 5.2 Sector Specific Sanctions

    • 5.2.1 Risks of sector-specific sanctions

      • Risk of correspondent banking sanctions

      • Sanctions risk for digital currencies

      • Corporate supply chain sanctions

      • Sanctions for maritime, logistics, and freight forwarders

      • Goods and technologies of US origin

      • Sanctions in the IT sector

      • Sanctions on high-value and luxury goods

      • Effective humanitarian license application

      • Humanitarian aid distribution in authorized jurisdictions

• Section 6: Advanced Topics in Sanctions Compliance

  • 6.1 Sanctions and Emerging Technologies

    • 6.1.1 Blockchain and Distributed Ledger Technology (DLT)

    • 6.1.2 Artificial Intelligence (AI) and Machine Learning

    • 6.1.3 Cryptocurrency and Digital Assets

    • 6.1.4 3D Printing and Advanced Manufacturing

  • 6.2 Sanctions Evasion and Enforcement

    • 6.2.1 Methods of Sanction Evasion

      • 6.2.1.1 Smuggling and Illicit Trade

      • 6.2.1.2 Front Companies and Shell Entities

      • 6.2.1.3 Cryptocurrency and Peer-to-Peer Transactions

    • 6.2.2 Regulatory Enforcement and Penalties

      • The Huawei Case (2020)

      • The Zhenli Ye Gon Case (2019)

• Section 7: Whistleblower Protections

  • 7.1 The Importance of Whistleblower Protections

    • 7.1.1 Encouraging Disclosure

    • 7.1.2 Strengthening Compliance

  • 7.2 Whistleblower Protection Mechanisms

    • 7.2.1 Anonymity and Confidentiality

    • 7.2.2 Legal Safeguards

    • 7.2.3 Monetary Rewards

  • 7.3 Real-Life Examples

    • The Sarbanes-Oxley Act (SOX)

    • The Dodd-Frank Wall Street Reform and Consumer Protection Act

    • The EU Whistleblower Directive

    • Crucial Role of Whistleblower Protections

• Section 8: Conclusion and Course Recap