Compliance
- Compliance Monitoring 1: Introduction
- Compliance Monitoring 2: The Role of the First Line of Defence (1LoD)
- Compliance Monitoring 3: The Importance of Challenge
- Compliance Training
- Keeping Up To Date with Regulation
- Compliance Risk Assessments – coming soon
- Overview and Scope
- Culture, Governance and Accountability
- Products and Services Outcome
- Price and Value Outcome
- Consumer Understanding Outcome
- Consumer Support Outcome
- Interaction between the Product Governance rules (PROD) and the Consumer Duty (Interactive Document)
- Senior Manager Conduct Rules
- Statements of Responsibilities
- The Certification Regime
- Individual Conduct Rules
- Non-Financial Misconduct
- Conduct Rules Training – coming soon
- Conflicts of Interest
- Case Study: Conflicts of Interest
- What is a Financial Promotion?
- Reviewing Financial Promotions
- Product Governance
- Client Assets Rules
- Suitability and Appropriateness
- Fair Treatment of Vulnerable Customers
- Client Categorisation - coming soon
- Compliance Risks - Wealth Management - coming soon
- Overview of Market Abuse Law
- Case Study: Front Running
- Insider Dealing – coming soon
- Control of Inside Information – coming soon
- Market Manipulation – coming soon
- Market Abuse Controls – coming soon
- Compliance Risk
- Operational Risk
- Credit Risk
- Liquidity Risk
- Market Risk – coming soon
- Whistleblowing Law and Regulation
- Overview of ESG
- ESG – Climate Risk – coming soon
- Corporate Governance – coming soon
Financial Crime
- ABC Risk Assessments
- Corporate Liability for Bribery
- Identifying Sanctions Risk
- Understanding Sanctions
- Managing Sanctions Risk – coming soon
- Sanctions Screening – coming soon
- AML/CTF Risk Assessments
- Proceeds of Crime Act (POCA): Failure to Report Offences
- How to Complete a Suspicious Activity Report (SAR)
- Identifying Politically Exposed Persons (PEPs) and Relatives & Close Associates (RCAs)
- Managing PEP and RCA Risks
- Source of Wealth and Source of Funds
- Corporate Beneficial Ownership
- Introduction to US AML Law and Regulation
- Trade-Based Money Laundering
- Money Laundering Risks – Capital Markets
- Money Laundering Risks – Wealth Management
- Money Laundering Risks – Payment Service Providers
- Domestic PEPs - UK Update 2024 (Interactive Document)
- Negative News Screening – coming soon
- Terrorist Financing – coming soon
- Fraud Risk Assessments – coming soon
- Facilitation of Tax Evasion – The Corporate Offence
Financial Products
- Company Metrics (Enterprise Value, Equity Value, EBIT and EBITDA)
- Special Purpose Acquisition Companies (SPACs)
- Private Equity
- Warrants
- Mergers and Acquisitions - coming soon
- Mechanics of an LBO - coming soon
- What is a Derivative?
- Options 1: Buying Call Options
- Options 2: Selling Call Options
- Options 3: Put Options
- Futures and Forwards
- Interest Rate Swaps - coming soon
- Shorting - coming soon
- Margin - coming soon
- Bond Yields
- Structured Products
- Exchange Traded Funds
- Hedge Funds
- Fund Management Key Concepts: Open Ended v Closed Ended (Interactive Document)
- Fund Management Key Concepts: Active v Passive Fund Management (Interactive Document)
- LIBOR Transition
- Interest Rate Swaps - coming soon
A full list of the video tutorials available on the platform, along with titles scheduled for release, is set out above. As part of the maintenance of the Virtual Compliance Mentor, content may be added, removed or updated from time to time.
Last updated: May 2024
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