Major Sanctions Authorities: UN, OFAC, EU, UK and Other Regimes - CAMS Prep
Sanctions Compliance Masterclass Major Sanctions Authorities: UN, OFAC, EU, UK and Other Regimes
Sanctions Compliance Masterclass
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Module 1: Sanctions Fundamentals and Global Regulatory Landscape
Introduction to Economic and Financial Sanctions
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Types of Sanctions: Comprehensive, Targeted, Sectoral and Activity-Based
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Major Sanctions Authorities: UN, OFAC, EU, UK and Other Regimes
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Primary, Secondary and Extraterritorial Sanctions Risk
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How to Read a Sanctions Program, Regulation and General License
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Module 2: Sanctions Lists, Ownership and Prohibited Relationships
Understanding Sanctions Lists and Designation Data
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Blocked Parties, Restricted Parties and Sectoral Sanctions
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OFAC's 50 Percent Rule and Ownership Aggregation
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Beneficial Ownership, Control and Complex Corporate Structures
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Sanctioned Jurisdictions, Geographic Risk and Territorial Scope
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Module 3: Sanctions Compliance Program and Risk Management
The Five Essential Components of a Sanctions Compliance Program
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Conducting an Enterprise Sanctions Risk Assessment
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Sanctions Governance, Roles and the Three Lines Model
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Policies, Procedures, Internal Controls and Recordkeeping
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Training, Quality Assurance, Independent Testing and Model Governance
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Module 4: Customer, Name and Payment Screening Operations
Customer and Counterparty Screening Across the Lifecycle
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Payment Screening and the Anatomy of a Financial Message
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Name Matching: Exact, Fuzzy, Phonetic and Transliteration Logic
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List Management, Data Quality and Screening System Controls
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False Positives, Alert Volumes and Screening Optimization
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Module 5: Sanctions Alert Investigation and Case Management
The End-to-End Sanctions Alert Investigation Process
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Determining a True Match, False Match or Inconclusive Match
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Investigating Entities, Vessels, Aircraft and Maritime Alerts
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Escalation, Legal Review and Decision Documentation
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Blocking, Freezing, Rejecting, Returning and Holding Transactions
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Module 6: Reporting, Evasion Typologies and Advanced Practice
Sanctions Evasion Red Flags and Common Concealment Techniques
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Trade Finance, Shipping and Proliferation Financing Risk
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Digital Assets, Fintech and Emerging Sanctions Risks
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Announcements Reviews Live Classes Gradebook Certificate Course Info
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