Dynamic Risks and Regulatory Expectations Explained
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FIN Library
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Introduction to the Counter-Illicit Finance Mission
Mission Objectives, Evolution, and Stakeholders
Overview of Global Counter-Illicit Finance Standards
Foundations of AML/CFT
What Is Money Laundering?
Jurisdictional Risk Assessment
Product Vulnerabilities/Typologies
Drugs
Fraud
Corruption
Terrorist Financing
Foundations of an AML Program
Governance
Customer Due Diligence
Internal Controls
Training
Independent Testing
U.S. Bank Secrecy Act
EU AML Directives
Advanced AML Issues
Correspondent Relationships
Trade Finance
Gateway Relationships with NBFIs and DNFBPs
Higher-Risk Products
Higher-Risk Customers
Third-Party Payment Processors and New Financial Technologies
Understanding Virtual Assets and Blockchain Technology
Sanctions Risks and Compliance for Virtual Assets and VASPs
Human Trafficking
Regulatory Technology
Actions under Section 311 of the USA PATRIOT Act
FATF Listing and Consequences
Wire Transfers and SWIFT Overview
Information Sharing and GDPR
Considerations for Banking Marijuana-Related Business
Overview: Global Sanctions
Background and Context
Overview of Sanctions Authorities (UN, U.S., EU, UK)
Types of Sanctions
Understanding and Applying Sanctions Lists
Note on Export Controls and Arms Embargoes
U.S. Jurisdiction
OFAC Listing Process
Other U.S. Sanctions Authorities
EU/UK Sanctions Regimes
Sanctions Programs
Afghanistan-Related Sanctions
Burma-Related Sanctions
Belarus-Related Sanctions
Central African Republic Sanctions
China-Related Sanctions and Restrictions
Counter-Narcotics Sanctions
Counterterrorism Sanctions
Cuba Sanctions
Cyber-Related Malicious Activity Sanctions
Democratic Republic of the Congo-Related Sanctions
Election Interference Related Sanctions
Ethiopia-Related Sanctions
Global Magnitsky Sanctions - Targeting Human Rights Violations
Guinea-Related Sanctions
Guinea-Bissau Related Sanctions
Iran Sanctions
Libya-Related Sanctions
Mali-Related Sanctions
Non-Proliferation Sanctions
North Korea Sanctions
Russia and Ukraine-Related Sanctions
Somalia-Related Sanctions
South Sudan-Related Sanctions
Sudan and Darfur-Related Sanctions
Syria Sanctions
Transnational Organized Crime Sanctions
Venezuela-Related Sanctions
Zimbabwe-Related Sanctions
Foundations of a Sanctions Compliance Program
Elements of an Effective Sanctions Compliance Policy
Elements of an Effective Sanctions Compliance Program
Advanced Sanctions Issues
Significance
Shadow Designated Persons
Owned or Controlled by A U.S. Person under the Cuba/Iran Sanctions Programs
Higher-Risk Products & Customers: Shipping
Sanctions Unwinding
Sanctions Evasion
The Sanctions Evasion Threat and Global Prohibitions
Iranian Sanctions Evasion
Nicaraguan Corruption Sanctions Evasion
North Korean Sanctions Evasion
Russian Sanctions Evasion
Venezuelan Sanctions Evasion
Human Rights & Corruption Sanctions Evasion
Countering the Financing of Proliferation
Introduction to Proliferation Financing
Sanctions and Other Control Measures
Role of the Financial Action Task Force in Counter-Proliferation
Typologies
Risks
Key Considerations for Financial Institutions
Export Controls
Overview and Frequently Asked Questions
Purpose and Basis
Multilateral Export Control Regimes
Export Control Red Flags
Elements of an Export Controls Compliance Program
Enforcement and Voluntary Self-Disclosure (VSD)
Case Studies
Key Considerations
Appendix: Export Controls Decision Tree
Foundations of Anti-Bribery and Corruption
Key Terms
Global ABC Standards
Key Drivers of Bribery and Corruption Risk
The Elements of an Effective ABC Program
Foundations of Fraud
Global Fraud Standards and Legislation
Fraud and Financial Institutions
Bank Fraud Typologies
Investment Security: Committee on Foreign Investment in the United States
What Is CFIUS?
Key Issues
Notable CFIUS Actions
Key Considerations for the Private Sector
Key Considerations for the Private Sector
Key Considerations for the Private Sector
Lessons Learned from FCC Enforcement Actions
AML Enforcement Actions
Sanctions Enforcement Actions
ABC Enforcement Actions
Public Sector Authorities
Supervision
Financial Intelligence Units
Financial Investigations
AML/CFT Prosecution
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