Analysis of AML/CFT Law:
a. What are the requirements of KYC collection? b. Transaction Monitoring requirements c. Internal control, risk assessment and risk management d. Offences, Criminal Liability and Penalties e. Sources of information to identify and assess ML and TF
Analysis of Best Execution MiFID II requirements:
a. Organizational requirements b. General principles and information to clients c. Best Execution criteria d. Best Execution obligations e. Execution Policy
Analysis of CySEC AML Directive issued on 27.03.2020 with specific attention to Risk Based approach, Risk Categorisation, and Sanctions Lists.
a. What are the requirements of a Risk-Based approach? b.What are the requirements of risk categorization? c. How risk categorisation should be implemented? d. Ongoing monitoring of accounts and transactions e. Sanction Lists and how the obliged entities should consider them
Analysis of ESMA guidelines on Product Governance, Appropriateness, and Suitability Test:
a. What are the Product Governance requirements? b. What are the requirements of appropriateness and suitability tests? c. What are the differences between them? d. How effective risk scoring can be achieved? e. Obligations of CIFs who provide services through the medium of another Investment Firm