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One Hour Series Library - Protecting your Licence

Anti-Money Laundering Systems and Procedures

1 Hour

£50.00 excl. VAT

1PD hours

The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017) came into force on 26 June 2017, with some key requirements coming into effect on 26th June 2018. AML compliance now goes far beyond the need for Customer Due Diligence.

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Professional Standards and Ethics Code

1 Hour

£50.00 excl. VAT

1PD hours

The profession-wide Ethics Code to which we must adhere is under review, and changes to the Code are expected. The use of introducers remains contentious within the profession and IPs must chart a careful course through the provisions of the Code to meet expected professional standards. Perceived conflicts of interest remain high profile, and transparency is the buzz word of the rule makers.

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Bonding, Insurance and PII

1 Hour

£50.00 excl. VAT

1PD hours

The bonding regime for IPs has been under review – is it fit for purpose? How and when is it likely to change? Bonding is not the whole picture, since it interacts with other insurances, your RPB’s professional indemnity insurance requirements and the best practice requirements of SIP 11.

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Conducting Firm-wide AML Risk Assessments

1 Hour

£50.00 excl. VAT

1PD hours

Regulation 18 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 requires insolvency practitioners to have conducted a firm-wide risk assessment of the money laundering and terrorist financing risks that are presented within their business.

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Changes to the Code of Ethics

1 Hour

£50.00 excl. VAT

1PD hours

The Code of Ethics underpins everything we do and the long awaited revision of the Code has now been published and will come into effect on 1st May 2020.

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SIP 11 & Financial Controls

1 Hour

£50.00 excl. VAT

1PD hours

The introduction of a strengthened SIP 11 in 2018 placed increase emphasis on the need for robust financial controls within IP practices and made clear the Regulators' expectations that controls should be reviewed at least annually. But what do proportional financial controls actually look like in practice?

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