The objective for this one day course is to provide your employees with the knowledge of the ISQM and FICA that they required to understand your firm’s policies and procedures, and to make them aware of how these would impact their day to day job
The session will cover the following:
System of quality management:
• What does the system of quality management look like
• What is the specific policies and procedures to be implemented in the
firm
• How does this affect your day-to-day job
• What documentation is required
Risk management and compliance program:
• What is the money laundering risk for our firm
• What is the risk assessment for our clients
• What are the procedures to be performed for customer due diligence
• What are the documentary requirements
• Reporting requirements
o Suspicious reports
o Cash reports
o Terrorist property report
o Examples of when reports should be made
