Date 15 September 2021
Time 17:00–19:00 CET
Registration link https://www.mitcentre.com/book-now/326/327
The course will discuss the legal obligations and from where these are derived in the context of transaction monitoring and reporting of suspicious transactions. The course will discuss in detail the internal and external reporting procedures. Detailed analysis will be discussed on pre and post-transaction monitoring obligations and when these apply. Red flags of typical suspicious transactions and the methodology behind building a transaction monitoring procedure will also be covered in the session. Other related topics such as the role of the MLRO together with prohibited disclosures will also be briefly discussed.
Following the session, attendees will have a good understanding on the legal obligations in the area of transaction monitoring and reporting. Furthermore, the course will provide knowledge on the drafting of internal procedures in the context of transaction monitoring together with internal and external reporting procedures.
MLROs, Compliance Officers, Directors of Subject Persons, individuals involved in transaction monitoring, other self-employed subject persons.
Mr John Mark Caruana
Trainer bio & experience
John has over 10 years of experience within the financial services industry in compliance, MLRO, Directorships of collective investment schemes, FX trading, Hedging, and investment advice. He graduated with Honours in Banking & Finance in 2008 and achieved a Master of Science in Banking & Finance in 2015 where he was awarded an Honours Roll by the University of Malta and best dissertation award by the Malta Stock Exchange. In July 2018, John was the first Maltese resident to be awarded two qualifications in Data Privacy by the International Association of Privacy Professionals (IAPP) being the Certified Information Privacy Professional / Europe (CIPP/E) and Certified Information Privacy Manager (CIPM). John is a co-founder and Compliance Director of a local AML consultancy firm. He is a fellow member of the Malta Compliance Officers Association (MACO) and a member of the International Association of Privacy Professionals.