AML in Investment Funds

OBJECTIVES

There are 4 main objectives of this course:

1. You gain an understanding of the AML risks posed by Investment Fund products and services
2. You can identify potential AML red flags on client transactions
3. You have an awareness of AML examples and typographies relevant to Investment Funds
4. You understand the obligations on regulators to perform monitoring and supervision activities

TARGET AUDIENCE

This course is intended for all employees who work in the domain of Investment Funds. It is not jurisdiction
specific and can be used globally.

COURSE CONTENT

The course has 4 main modules covering what we call the 4Rs of AML:

1. Risks – which are inherent in your line of business
2. Red Flags – which your members of staff should be particularly aware of
3. Real Examples – of money laundering or terrorist financing using products and services similar to yours
4. Regulatory Inspections – what regulators find when they inspect other firms in your line of business

KNOWLEDGE CHECK

There is a 10 question knowledge check at the end of the course with a standard pass mark of 80% and unlimited
attempts. The 10 questions are drawn randomly from a larger bank of questions. Each attempt will draw a
different mix of questions.

CERTIFICATION & REPORTING

All of the courses running on our platform can issue course completion certificates automatically to the users where they have obtained the learning
objectives. Where required we can provide copies to nominated Compliance and Human Resources teams.

For custom branded courses, the certificate can also be branded to your organisation