Dynamic Risks and Regulatory Expectations Explained

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Introduction to the Counter-Illicit Finance Mission
1.1
Mission Objectives, Evolution, and Stakeholders
1.2
Overview of Global Counter-Illicit Finance Standards
Foundations of AML/CFT
2.1
What Is Money Laundering?
2.2
Jurisdictional Risk Assessment
2.3
Product Vulnerabilities/Typologies
2.4
Drugs
2.5
Fraud
2.6
Corruption
2.7
Terrorist Financing
Foundations of an AML Program
3.1
Governance
3.2
Customer Due Diligence
3.3
Internal Controls
3.4
Training
3.5
Independent Testing
3.6
U.S. Bank Secrecy Act
3.7
EU AML Directives
Advanced AML Issues
4.1
Correspondent Relationships
4.2
Trade Finance
4.3
Gateway Relationships with NBFIs and DNFBPs
4.4
Higher-Risk Products
4.5
Higher-Risk Customers
4.6
Third-Party Payment Processors and New Financial Technologies
4.7
Understanding Virtual Assets and Blockchain Technology
4.8
Sanctions Risks and Compliance for Virtual Assets and VASPs
4.9
Human Trafficking
4.10
Regulatory Technology
4.11
Actions under Section 311 of the USA PATRIOT Act
4.12
FATF Listing and Consequences
4.13
Wire Transfers and SWIFT Overview
4.14
Information Sharing and GDPR
4.15
Considerations for Banking Marijuana-Related Business
Overview: Global Sanctions
5.1
Background and Context
5.2
Overview of Sanctions Authorities (UN, U.S., EU, UK)
5.3
Types of Sanctions
5.4
Understanding and Applying Sanctions Lists
5.5
Note on Export Controls and Arms Embargoes
5.6
U.S. Jurisdiction
5.7
OFAC Listing Process
5.8
Other U.S. Sanctions Authorities
5.9
EU/UK Sanctions Regimes
Sanctions Programs
6.1
Afghanistan-Related Sanctions
6.2
Burma-Related Sanctions
6.3
Belarus-Related Sanctions
6.4
Central African Republic Sanctions
6.5
China-Related Sanctions and Restrictions
6.6
Counter-Narcotics Sanctions
6.7
Counterterrorism Sanctions
6.8
Cuba Sanctions
6.9
Cyber-Related Malicious Activity Sanctions
6.10
Democratic Republic of the Congo-Related Sanctions
6.11
Election Interference Related Sanctions
6.12
Ethiopia-Related Sanctions
6.13
Global Magnitsky Sanctions - Targeting Human Rights Violations
6.14
Guinea-Related Sanctions
6.15
Guinea-Bissau Related Sanctions
6.16
Iran Sanctions
6.17
Libya-Related Sanctions
6.18
Mali-Related Sanctions
6.19
Non-Proliferation Sanctions
6.20
North Korea Sanctions
6.21
Russia and Ukraine-Related Sanctions
6.22
Somalia-Related Sanctions
6.23
South Sudan-Related Sanctions
6.24
Sudan and Darfur-Related Sanctions
6.25
Syria Sanctions
6.26
Transnational Organized Crime Sanctions
6.27
Venezuela-Related Sanctions
6.28
Zimbabwe-Related Sanctions
Foundations of a Sanctions Compliance Program
7.1
Elements of an Effective Sanctions Compliance Policy
7.2
Elements of an Effective Sanctions Compliance Program
Advanced Sanctions Issues
8.1
Significance
8.2
Shadow Designated Persons
8.3
Owned or Controlled by A U.S. Person under the Cuba/Iran Sanctions Programs
8.4
Higher-Risk Products & Customers: Shipping
8.5
Sanctions Unwinding
Sanctions Evasion
9.1
The Sanctions Evasion Threat and Global Prohibitions
9.2
Iranian Sanctions Evasion
9.3
Nicaraguan Corruption Sanctions Evasion
9.4
North Korean Sanctions Evasion
9.5
Russian Sanctions Evasion
9.6
Venezuelan Sanctions Evasion
9.7
Human Rights & Corruption Sanctions Evasion
Countering the Financing of Proliferation
10.1
Introduction to Proliferation Financing
10.2
Sanctions and Other Control Measures
10.3
Role of the Financial Action Task Force in Counter-Proliferation
10.4
Typologies
10.5
Risks
10.6
Key Considerations for Financial Institutions
Export Controls
11.1
Overview and Frequently Asked Questions
11.2
Purpose and Basis
11.3
Multilateral Export Control Regimes
11.4
Export Control Red Flags
11.5
Elements of an Export Controls Compliance Program
11.6
Enforcement and Voluntary Self-Disclosure (VSD)
11.7
Case Studies
11.8
Key Considerations
11.9
Appendix: Export Controls Decision Tree
Foundations of Anti-Bribery and Corruption
12.1
Key Terms
12.2
Global ABC Standards
12.3
Key Drivers of Bribery and Corruption Risk
12.4
The Elements of an Effective ABC Program
Foundations of Fraud
13.1
Global Fraud Standards and Legislation
13.2
Fraud and Financial Institutions
13.3
Bank Fraud Typologies
Investment Security: Committee on Foreign Investment in the United States
14.1
What Is CFIUS?
14.2
Key Issues
14.3
Notable CFIUS Actions
14.4
Key Considerations for the Private Sector
Key Considerations for the Private Sector
15.1
Key Considerations for the Private Sector
Lessons Learned from FCC Enforcement Actions
16.1
AML Enforcement Actions
16.2
Sanctions Enforcement Actions
16.3
ABC Enforcement Actions
Public Sector Authorities
17.1
Supervision
17.2
Financial Intelligence Units
17.3
Financial Investigations
17.4
AML/CFT Prosecution

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