THE COMPLIANCE TOOLKIT:
A PRACTICAL GUIDE
TO ESTABLISHING AND MAINTAINING
AN EFFECTIVE
ANTI-MONEY LAUNDERING / COMBATING THE FINANCING OF TERRORISM (AML/CFT)
COMPLIANCE PROGRAM
An indispensable reference guide for the compliance professional. Whether establishing and implementing a new program, reviewing an existing program or preparing for an examination or inspection, this publication lists all of the items one needs to consider based on international standards and best practices around the world (U.S. Department of the Treasury, Basel, FATF, Wolfsberg, etc.). January 2004. First Edition. 65 pages. Price US $150.00. For ordering and shipping information, please contact us.
TABLE OF CONTENTS:
- Application of Technology
- Compliance Culture
- Compliance Manual
- Compliance Program
- Corporate Governance
- Correspondent Banking
- Customer Acceptance
- Duties and Obligations of a Compliance Officer/Money Laundering Reporting Officer (MLRO)
- Enhanced Due Diligence
- Internal Control Framework
- Fundamental Laws of Money Laundering
- Know Your Customer (KYC)/Customer Due Diligence (CDD)
- Know Your Employee (KYE)
- On Going Monitoring
- Potentate Risk
- Private Banking
- Record Keeping
- Relationship with the Regulator
- Retrospective Due Diligence
- Risk Management
- Suspicious Activity Recognition and Reporting
- Terrorist Financing
- Training and Awareness
ABOUT THE AUTHOR:
Kenneth L. Bryant, MSCJ, CPP, CFE, CRP, CAMS, AML, COMP, FCoI, has more than fifteen years senior management experience both in the United States and Overseas as a money laundering investigator, compliance officer/money laundering reporting officer, enforcement regulator and a counter terrorist and counter narcotics consultant. He possesses a Master’s Degree in Criminal Justice and holds seven board certifications covering the areas of risk management, financial due diligence, financial operations, regulatory compliance and anti-money laundering. Mr. Bryant is a frequent presenter and lecturer and is a regular media guest and author/contributor to programs and articles on AML issues, international standards and industry best practices. He advises governments, regulatory bodies, financial institutions, consulting firms, and AML vendors on a global basis.
