financial services institute

About the Course

This course provides an overview of the AML/CFT regulatory framework for securities investment businesses (SIBs) in the Cayman Islands. It addresses how to apply the risk based approach (RBA) in an SIB environment, distinguishing between the types of SIB clients and the due diligence requirements for each as well as learning about the various AML/CFT Red Flags to avoid when working in, or serving as a director of, a securities investment business.

Course details

Date: TBD

Time: TBD

Duration: 2 hours


Cost: US$300

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What’s on the agenda?

Brief introduction to Money Laundering (ML), Terrorist Financing (TF), Sanctions & Proliferation Financing (PF)
Types of Securities Investments Business covered by the Laws and Regulations
Risk Based Approach
Risk assessment of the investor base
Determining the SIBs Applicant for Business in various scenarios
Customer Due Diligence
When to use the various approaches to CDD AML/CFT Red Flags for SIBs
Online multiple choice test

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