RBA & AML-CTF risk assessment in the fund industry
Which are the best practices?
Which are the best practices?
Dear Sir, Madam,
What does a Risk Based Approach mean for you? What should you expect in building a successful training program?
No one can deny that it’s imperative that for executives to accept the risk management process.
Attend this intensive and highly practical one-day training course and learn the best practice techniques to:
- Understand the latest trends in the legal framework on AML for the Fund Industry
- Get to know the CSSF publications and regulations and recommendations of the CRF
- Be aware of the best practices for an Asset Manager
Looking forward to welcoming you to this practical training,
Best regards,
- Design and execute effective AML and CTF programmes with this course
- Enquire into the best practices for the RBA
- Know and prevent the risks
- Fund managers
- Specialist fund managers
- Conducting officers
- Accountants
- Promoters
- Administrators
- Tax, financial and legal directors
- Tax advisors, tax specialists
- Asset managers
- Directors of private banking
- Wealth management advisors
- Private client managers
- Lawyers
- Middle and Back Office Personnel
- Front Office Sales Personnel
- Compliance, Risk, Governance Officers
- Regulators
- Career Switchers moving into Compliance
- Administrative Officers
- Supervisors
- System developers
- Risk managers
- Reporting specialists
- Design and execute effective AML and CTF programmes with this course- Enquire the best practices of the RBA- Know and prevent the risks
MARCH, 30TH
Chairman
Sundhevy DEBRAND
Authorized Manager
Chief Compliance Officer & MLRO
GEN II LUXEMBOURG SERVICES SARL
8 h 45 Participants’ arrival
Session president’s speech
Legal framework: where do we stand?
- FATF Guidance for RBA/Securities sector & other FATF guidance
- EBA Guidelines on AML, as endorsed by CSSF Circular 21/782 »
- ML/TF Sub-sector Risk Assessment/Collective Investments
- ALFI Guidelines on Practices and Recommendations aimed at reducing the risk of money laundering and terrorist financing in the Luxembourg Fund Industry
- EU AML/CFT package
Sophie DUPIN
Partner
Fabrice BELLENCONTRE
Senior Associate
ELVINGER HOSS PRUSSEN
Non regulated funds
- The investment fund industry within the Luxembourg financial sector
- The Luxembourg toolbox of investment fund vehicles, with a focus on the RAIF and other non-supervised fund vehicles
- The AML/CFT obligations of the RAIF and other non-supervised fund vehicles, their implementation in practice and the related challenges
- Towards a unique and common AML/CFT framework for the entire investment fund industry ?
Claire GUILBERT
Partner
or
Manfred DIETRICH
Associé fonds
NORTON ROSE FULLBRIGHT
Coffee-Networking
What are the expectations of the CSSF?
- CSSF recommendations
- Due diligence
- Annual report
- Offsite supervision
- Onsite supervision: how to prepare a successful onsite visit?
- What are the potential risks?
Guido KRUSE
Conseiller
Chef de Division
OPC Contrôles sur place
CSSF
12.30 Session Q&A
12:45
Recommendations of the CRF
Anouk DUMONT
Directeur adjoint
CRF
Coffee break
Selected topics specific to the fund industry
- Best practices for Asset Managers
- Reviewing the adequacy of the qualification of the proposed RR/RC
- RC/RR obligations
- Important clarifications for RAIFs for RR and RC appointments
Hervé BALLONE
Conducting Officer
CARLYLE
Bastien COLLETTE
Partner
PALANA SA
16 h15 End of conference