
Advanced Sanctions Securities & Investments
Target Audience
Frontline trading, sales and relationship managers, as well as compliance, audit, other risk professionals and operations staff in banks, asset managers, hedge funds, exchanges, sovereign wealth funds and other institutions active in the financial markets.
Audience Level
Intermediate to Advanced
Duration
1 Day: 9am – 4pm
Delivery
Online or In-class
The course is designed to improve participants’ awareness and knowledge of sanctions risks in issuing, trading, buying, selling or even facilitating financial market transactions. It focuses on the specific US, UK & EU sanctions regimes and the practical differences and difficulties in their implementation.
- The course is designed to provide a systematic and comprehensive analysis of the impact of sanctions on securities, financing, investments and related products and services
- The course places special emphasis on understanding how sanctions regimes have impacted the use and delivery of specific financial market products and services
- The course will be interactive and include many practical aspects of the application of sanctions to securities and investment activities
- The course is delivered by a trainer with 9 years’ experience in training financial crime for major banks such as HSBC, in over 40 countries, as well as extensive involvement in the capital markets, having worked as a business manager in the global financial markets divisions of ABN AMRO and CIBC Capital Markets
- The course objectives are to analyse and develop a critical understanding of the impact of sanctions on securities, financing and investments, within the context of related capital market / wholesale banking products and related services
- The course will examine the specific risks inherent in executing transactions in foreign exchange, interest rate, equity and credit products, in both cash and derivative markets
- The course will assist participants on understanding the various definitions of what constitutes investments, debt and equity financing under different sanctions regimes
- The course will additionally focus on the scope of secondary sanctions, and how they impose limitations on brokering, swapping and/or facilitating financial market transactions
- The course will focus on both major and other relevant sanctions regimes, where there are specific securities, finance and investment sanctions risks, including those implemented by the US, EU, UK and other allied nations
Contact Form
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