Financial Sanctions



Course Outline

Introduction

The course defines sanctions and explains their importance to the international community; a point illustrated by reference to high profile disciplinary cases. It then discusses the typical systems and controls in place in financial firms to guard against breach of sanctions i.e. governance, risk assessment and screening.

Case Studies

The case studies, set in the context of a fictitious bank, cover the application of UK and US law to individual members of staff and consider frequently asked questions in relation to screening.

Further Information

Format

SCORM 1.2 compliant. The course uses Adobe Flash and Trivantis Lectora.

Implementation

This course runs on any SCORM compliant LMS platform. Adobe Flash Player 8 plug-in (or later) must be installed in the web browser. JavaScript must also be enabled and all pop-up blockers disabled.

Course Overview

This short course explains the background to sanctions and sets out the typical systems and controls in place to prevent breaches of international standards and regulatory requirements.

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Details

Learning outcomes:

By the end of the course, the learner will have a better understanding of:

  • What sanctions are and why they are important
  • What firms have to do in order to meet their responsibilities; and
  • Where to get more information

These points are illustrated by case studies.

Audience:

The course assumes no previous knowledge of sanctions. The material is designed to be accessible to staff at all levels.

Course duration:

15 minutes.

Assessment:

A multiple choice test is available if required.


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