Trade Based Financial Crime Compliance

Trade Based Financial Crime Compliance

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Trade Based Financial Crime Compliance is an invaluable tool that enables financial institutions, bankers, lawyers, compliance officers, and corporates to understand the impact that compliance regulations have on trade and ways to meet the requirements imposed by these regulations. There is no other resource that addresses trade based financial crime compliance with the same detail of this book.

Trade Based Financial Crime Compliance is unique in that it provides a proper introduction to “trade” before diving fully into trade based financial crime compliance matters. This book looks to provide guidance and insight to practitioners aiming to remain compliant in the often complex and contradictory world of trade finance, with its ever shifting rules of compliance. 

Who Should Read This

 Compliance Officers

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What You Will Learn

 An understanding of the impact of compliance regulations on trade

 Ways to meet requirements imposed by regulations

 A detailed introduction to trade and trade products and how international trade finance works.

 An understanding of the various sources that comprise various financial crime compliance regimes, including governments, inter-governmental bodies, non-governmental bodies.

 Examination of the difficulty of operating in two or more distinct and conflicting regimes.

 Best practices for exercising due diligence in trade transactions.

 In-depth discussion of the specific types of trade based financial crimes and how financial institutions can identify and prevent their occurrence, specifically: money laundering, terrorism financing, sanctions violations, proliferation of weapons of mass destruction, bribery, commercial fraud, and violation of anti-boycott provisions.

 How to create a compliance programme that bridges the work of trade operations personnel as well as the risk and compliance team, along with upper management.

Summary of Contents

Part I: Trade Based Financial Crime Compliance

Chapter 1: Introduction to Trade Based Financial Crime Compliance

Chapter 2: Trade

Chapter 3: Financial Crime Regulation

Chapter 4: The Compliance Programme

Chapter 5: Exercising Due Diligence

Chapter 6: Indicators of Trade Based Financial Crimes

Part II: Combating Financial Crimes

Chapter 7: Anti Money Laundering (AML)

Chapter 8: Counter Terrorism Financing

Chapter 9:  Sanctions

Chapter 10: Weapons of Mass Destruction

Chapter 11: Anti Bribery

Chapter 12: Commercial Fraud

Chapter 13: Anti Boycott

Appendix A: Answers to Review Questions

Appendix B: Bibliography

Appendix C: List of Red Flags

Appendix D: Glossary

Appendix E: Abbreviations

Appendix F: Organisations

Additional Notes
This book was written, in part, to serve as the learning materials for the Certification in Trade Finance Compliance (CTFC), a certification administered by the London Institute of Banking & Finance (LIBF) designed to educate and test the knowledge of practitioners and ensure that they possess the tools necessary to combat trade based financial crimes and meet the requirements imposed by law, regulation, and bank policy.