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CFD firm- AML and Compliance Framework
CFD Broking Firm - AML & Compliance Framework by CA Dilip Jain
Navigate the complexities of AML and compliance within Contracts for Difference (CFD) broking with this essential guide by CA Dilip Jain. Leveraging over 20 years of expertise in banking, compliance, and financial crime prevention, Jain demystifies regulatory requirements and equips professionals with actionable strategies for robust compliance frameworks.
Key
Comprehensive Overview: Understand the essentials of CFD trading, its rapid growth, associated risks, and regulatory emphasis.Regulatory Guidance: Explore the UAE's Securities and Commodities Authority (SCA) compliance standards, client classification, licensing, and leverage limits.Framework Development: Learn step-by-step approaches to build effective AML and compliance structures, including governance, policy creation, and fostering a culture of compliance.Business Risk Assessment (BRA): Dive into methodologies for assessing and prioritizing risks related to client onboarding, transaction monitoring, and high-risk scenarios.AML Program Implementation: Gain insights into CDD and EDD processes, automated monitoring systems, and managing alerts for suspicious activities.Continuous Improvement: Discover strategies for compliance monitoring, testing, feedback loops, and adapting to regulatory changes.Strategic Integration: Position compliance as an integral asset to business strategy and KPIs.Who Should Read This Book? Ideal for compliance officers, AML specialists, risk managers, and senior executives seeking practical tools, templates, and examples to enhance compliance operations in CFD broking.
About the Author: CA Dilip Jain, a seasoned compliance professional, AML expert, and respected trainer, brings invaluable insights gained from years of service at leading financial institutions. He has authored multiple books on compliance and risk, and his work has been featured in Khaleej Times and other international platforms.
Embrace this guide to fortify your firm's compliance strategies and align with ever-evolving regulatory landscapes.
Navigate the complexities of AML and compliance within Contracts for Difference (CFD) broking with this essential guide by CA Dilip Jain. Leveraging over 20 years of expertise in banking, compliance, and financial crime prevention, Jain demystifies regulatory requirements and equips professionals with actionable strategies for robust compliance frameworks.
Key
Comprehensive Overview: Understand the essentials of CFD trading, its rapid growth, associated risks, and regulatory emphasis.Regulatory Guidance: Explore the UAE's Securities and Commodities Authority (SCA) compliance standards, client classification, licensing, and leverage limits.Framework Development: Learn step-by-step approaches to build effective AML and compliance structures, including governance, policy creation, and fostering a culture of compliance.Business Risk Assessment (BRA): Dive into methodologies for assessing and prioritizing risks related to client onboarding, transaction monitoring, and high-risk scenarios.AML Program Implementation: Gain insights into CDD and EDD processes, automated monitoring systems, and managing alerts for suspicious activities.Continuous Improvement: Discover strategies for compliance monitoring, testing, feedback loops, and adapting to regulatory changes.Strategic Integration: Position compliance as an integral asset to business strategy and KPIs.Who Should Read This Book? Ideal for compliance officers, AML specialists, risk managers, and senior executives seeking practical tools, templates, and examples to enhance compliance operations in CFD broking.
About the Author: CA Dilip Jain, a seasoned compliance professional, AML expert, and respected trainer, brings invaluable insights gained from years of service at leading financial institutions. He has authored multiple books on compliance and risk, and his work has been featured in Khaleej Times and other international platforms.
Embrace this guide to fortify your firm's compliance strategies and align with ever-evolving regulatory landscapes.
79 pages, Paperback
Published November 13, 2024
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