Course Outline
Institutional Module: Core Principles of Due Diligence
- Exploring due diligence architectures within financial institutions.
- Examining governance structures, accountability mechanisms, and reporting hierarchies.
- Harmonising due diligence with risk management and internal control systems.
- Aligning due diligence strategies with organisational goals and compliance culture.
Management Module: Leadership and Supervision
- Defining board and executive duties in compliance oversight.
- Forming compliance committees and establishing accountability frameworks.
- Monitoring performance, managing escalation, and planning corrective actions.
- Applying ethical leadership and decision-making models.
Marketing and Sales Module: Ethical Behaviour and Client Transparency
- Integrating due diligence into client acquisition and marketing efforts.
- Managing conflicts of interest and ensuring transparent disclosures.
- Guaranteeing data protection and consent in customer interactions.
- Overseeing sales practices to mitigate compliance and reputational risks.
Technical Module: Operational and Data Due Diligence
- Mapping data flows and pinpointing sensitive information.
- Assessing system controls and cybersecurity status.
- Incorporating technology risk evaluations into compliance reviews.
- Leveraging tools and automation for data collection and reporting in due diligence.
Financial Module: Financial Integrity and Risk Assessment
- Evaluating financial performance, solvency, and liquidity metrics.
- Assessing the financial stability of counterparties and suppliers.
- Preventing financial crime through AML, CFT, and sanctions screening.
- Detecting fraud, conducting internal audits, and identifying red flags.
Legal and Regulatory Module: CRS, FATCA, and Global Compliance Duties
- Interpreting Common Reporting Standard (CRS) and FATCA mandates.
- Conducting due diligence for tax residency, indicia searches, and self-certifications.
- Reviewing key legal frameworks: OECD standards, MCAA, and domestic application.
- Handling penalties, remediation processes, and reporting obligations.
Environmental, Health, Safety, and Business Integrity Module
- Integrating ESG criteria into due diligence practices.
- Maintaining health and safety compliance in financial and operational activities.
- Implementing business integrity policies and anti-corruption controls.
- Reporting on sustainability risks and compliance deficiencies.
Information Technology Module: Data Governance and Security Compliance
- Applying IT governance frameworks and digital risk management.
- Upholding standards for data integrity, retention, and traceability.
- Ensuring regulatory compliance in digital transformation and AI adoption.
- Planning for incident response, disaster recovery, and resilience.
Integrative Module: Governance, Risk, and Audit Preparedness
- Synthesising due diligence insights across various departments.
- Building unified compliance dashboards and reporting structures.
- Preparing for external audits and regulatory inspections.
- Formulating continuous improvement and training strategies.
Case Studies and Practical Applications
- Analyzing and categorizing sample client and vendor due diligence records.
- Simulating complex, multi-module risk assessment scenarios.
- Constructing corrective action and monitoring plans.
Conclusion and Path Forward
Requirements
- A solid grasp of financial compliance and risk management procedures.
- Basic familiarity with tax, regulatory, or AML/KYC principles.
- Practical experience in client onboarding or governance roles is advantageous.
Target Audience
- Compliance and risk management specialists.
- Legal and audit practitioners.
- Operational, financial, and IT managers engaged in due diligence activities.
Custom Corporate Training
Training solutions designed exclusively for businesses.
- Customized Content: We adapt the syllabus and practical exercises to the real goals and needs of your project.
- Flexible Schedule: Dates and times adapted to your team's agenda.
- Format: Online (live), In-company (at your offices), or Hybrid.
Price per private group, online live training, starting from 3900 € + VAT*
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Testimonials (4)
How to manage business financials
surprise mtileni - Hatima Holdings (Pty) ltd
Course - Learning Xero
Good communication, open for discussion, kept it interesting and engaging
Ahmet Keyman - Keytrade AG
Course - Management Accounting and Finance for Non-Finance Professionals
Experience of the trainer and his way of conveying the content
Roggli Marc - Bechtle Schweiz AG
Course - FinOps
The trainer did not leave a single minute unexploited! He was up a storm throughout every lesson and provided much material for whatever he dealt with.
