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
- Compliance Risk
- Operational Risk
- Credit Risk
- Liquidity Risk
- Market Risk – 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 UK 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
- Senior Manager Conduct Rules
- Statements of Responsibilities
- The Certification Regime
- Individual Conduct Rules
- Non-Financial Misconduct
- Conduct Rules Training – coming soon
- UK Whistleblowing Law and Regulation
- Corporate Governance – coming soon
- Overview of ESG – coming soon
- ESG – Climate Risk – coming soon
Financial Crime
- ABC Risk Assessments
- Corporate Liability for Bribery - UK requirements
- Identifying Sanctions Risk
- Understanding Sanctions – coming soon
- 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) - UK requirements
- Identifying Politically Exposed Persons (PEPs) and Relatives & Close Associates (RCAs) - UK requirements
- Managing PEP and RCA Risks - UK requirements
- Source of Wealth and Source of Funds
- Corporate Beneficial Ownership - UK requirements
- Introduction to US AML Law and Regulation
- Trade-Based Money Laundering
- Money Laundering Risks – Capital Markets – coming soon
- Money Laundering Risks – Wealth Management – coming soon
- Money Laundering Risks – Payment Service Providers – coming soon
- Negative News Screening – coming soon
- Terrorist Financing – coming soon
- Fraud Risk Assessments – coming soon
- Facilitation of Tax Evasion – The UK Corporate Offence
Financial Products
- Company Metrics (Enterprise Value, Equity Value, EBIT and EBITDA)
- Special Purpose Acquisition Companies (SPACs)
- Case Study: SPACs
- Private Equity
- Mergers and Acquisitions - coming soon
- Mechanics of an LBO - coming soon
- Warrants – 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 - coming soon
- 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: July 2023
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