AFB Financial Crime Masterclass: Capital Markets (Combatting Money Laundering Risks)

An essential programme of financial crime compliance and risk management learning for risk and compliance professionals who are managing capital market products and services.

This is an instructor-led, interactive programme of classroom learning that has been designed for all risk and compliance employees who wish to develop an advanced understanding of how to manage financial risks with an emphasis on assessing and mitigating the risks of relating to high-end money laundering, market abuse and insider dealing.

The course will focus on UK regulations but also provide an update on EU developments.  Delegates will be supported with practical notes, working templates and risk assessment exercises to ensure that the session is highly interactive, and outcomes focused.

Course content

1. Introduction and defining the key risks – Market abuse and insider dealing; high end transaction money laundering, case study analysis – crime typologies
2. Laws and regulations: EU and UK Market Abuse Regulation; Proceeds of Crime Act; Money Laundering Regulations; FCA Handbook and the Role of the FCA in combatting Market Abuse; Case study analysis – enforcement action.
3. Identifying the risks in bond markets, stock markets, money markets, derivatives markets, FX markets, and looking at red flags.
4. Managing the risks through a risk-based approach; business risk assessments, customer risk assessments and CDD, transaction monitoring and training.
5. Reporting the risks via suspicious transaction and order reporting and suspicious activity reports.

Course structure

• In person and instructor led
• 3 hours of learning
• Case study analysis
• Working templates
• CPD credits for any session attended

Learning outcomes

By the end of this session, you will be able to:

• Describe how criminals use capital market products and services to launder the proceeds of crimes, and market abuse and insider dealing methodologies
• Define the EU and UK legal and regulatory responsibilities to manage financial crime in capital markets
• Conduct a risk assessment of financial crime risks, whilst identifying the appropriate controls that a firm should have in place to deter and detect criminal conduct
• Outline the framework of systems and controls that is required to manage financial crime, including using red flags to identify unusual and high-risk activity
• Report unusual activity according to laws and regulations, distinguishing between suspicious activity reporting under the POCA and Terrorism Act (SAR) from Suspicious Transaction and Order reporting (STOR)

Who should attend?

• All financial crime risk professionals from financial sectors who are responsible for assessing and managing FCC risks in Capital Markets       
• Customer due diligence analysts
• Transaction monitoring officers
• Senior FCC risk management professionals, including MLROs, DMLROs and nominated officers
• Risk and compliance professionals and internal auditors who conduct second- and third-line quality assurance and testing

Logistics

Venue:        In-person, Central London venue
Date:          Wednesday, 16 July 2025
Time:          09:00 – 12:30 (Registration and light breakfast from 09:00)
Price:          £400 plus VAT

For further information including any questions around booking please contact secretariat@foreignbanks.org.uk