This unit examines the key principles for regulating anti money laundering, counter terrorist financing and economic trade sanctions. It also presents the regulatory obligations financial institutions must meet regarding these issues. The unit presents and explains key components and processes that comprise robust customer due diligence frameworks, including the control processes required to ensure that economic sanctions requirement are met. It outlines best practices regarding transaction monitoring. It also outlines the principles and objectives of regulatory enforcement and explains the techniques and tools that are used as part of enforcement measures. -- Course Website
Instructor: Associate Professor Robert Trevor
Prerequisites: Admission to MFinReg
