FICA in Practice: Scams, Red Flags and Real-World Protection is a three-day, scenario-driven webinar series focusing on how criminals exploit FICA processes in practice. It equips staff and compliance teams to recognise scams early, strengthen judgement, and respond confidently when something feels “off”.
This practical series moves beyond legislation to examine real-world FICA failures, scam typologies and human decision-making risks. Through case studies and examples, participants learn how onboarding, CDD and reporting processes are exploited, where controls break down, and how to improve awareness, escalation and protection across the firm.
Day 2: From Policy to Protection – Strengthening Controls and Staff Judgement
• The human element in FICA failures
• Where procedures break down under pressure
• Balancing commercial pressure with compliance obligations
• Moving beyond tick-box CDD
• Applying risk-based judgement in real client interactions
• Staff responsibilities when something does not feel right
• Escalation protocols: when, how and to whom
• Internal communication gaps that enable scams
• Compliance Officers and compliance teams
• Directors, partners and key individuals
• Client-facing staff involved in onboarding and engagements
• Risk, governance and operational management
