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Certificate in Know Your Customer Foundations

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Course curriculum

    1. Disclaimer

    2. Welcome Message

    3. Introduction to this Course

    1. 🗣️ Instructor-Led Course Live Tutoring

    1. Download — Audio Book

    2. Download — Study Guide

    3. Download — Course Slides

    4. Download — Supplementary Resources

    1. Introduction to this Module

    2. What is Know Your Customer? What is Customer Due Diligence?

    3. Why is KYC/CDD Important?

    4. Relevance of KYC/CDD for Compliance and Anti-Financial Crime (AML/CTF, Fraud Prevention, Sanctions, etc.)

    5. KYC/CDD for Organizational Risk Management (Regulatory Risk, Legal Risk, Financial Risk, Reputational Risk)

    6. Who is Your Customer? Definition of Customer and Types of Customers in Financial Services and Other Industries

    7. Case Study – Fines on Banks Due To Non-Compliance of KYC Requirements

    8. Module Summary

    9. Multiple Choice Quiz

    10. Further Reading and References

    1. Introduction to this Module

    2. Financial Action Task Force - Overview of Relevant KYC/CDD Recommendations

    3. Wolfsberg Group - Overview of Relevant KYC/CDD Guidance

    4. United States - Overview of Relevant KYC/CDD Laws & Regulation

    5. European Union - Overview of Relevant KYC/CDD Laws & Regulation

    6. United Kingdom - Overview of Relevant KYC/CDD Laws & Regulation

    7. Hong Kong & Singapore - Overview of Relevant KYC/CDD Laws & Regulation

    8. Case Study: Role of Financial Action Task Force in Prevention of ML/TF

    9. Module Summary

    10. Multiple Choice Quiz

    11. Further Reading and References

    1. Introduction to this Module

    2. KYC/CDD in the Customer Lifecycle: Onboarding, Ongoing, Event-Driven, Exit

    3. The Risk-Based Approach to KYC

    4. Overview of key risk categories: Customer risk, Jurisdiction Risk, Product Risk, and Channel Risk

    5. Levels of Due Diligence: Simplified, Regular, and Enhanced

    6. Customer Identification and Customer Verification

    7. KYC/CDD for Persons vs. Legal Entities

    8. Nature and Purpose of the Relationship

    9. Beneficial Ownership and Control

    10. Relevant KYC Red Flags: Politically Exposed Persons, Shell Companies, High-Risk Jurisdictions, and Others

    11. Case Study: Performance of Simplified Due Diligence to Open an Account

    12. Module Summary

    13. Multiple Choice Quiz

    14. Further Reading and References

About this course

  • 59 lessons
  • 3.5 hours of video content