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style="mso-bidi-font-family: Calibri"><FONT color=#410082>Anti-Money Laundering
(AML) Training Course for Board of Directors and Senior Management On 12th to
23rd December 2022</FONT></SPAN></A></SPAN></B></P></DIV>
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style="COLOR: windowtext; mso-bidi-font-family: Calibri">Calendar for 2022/2023
Workshops<o:p></o:p></SPAN></A></SPAN></U></P>
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us<o:p></o:p></SPAN></A></SPAN></U></P>
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style="FONT-SIZE: 12pt; mso-bidi-font-family: Calibri"><FONT face=Calibri>Venue:
PrideInn Paradise Beach Resort, Mombasa, Kenya<o:p></o:p></FONT></SPAN></B></P>
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style="FONT-SIZE: 12pt; mso-bidi-font-family: Calibri"><FONT face=Calibri>Course
Fee: 3,000USD<o:p></o:p></FONT></SPAN></B></P>
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Telephone: +254-702-249-449<o:p></o:p></FONT></SPAN></P>
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style="FONT-SIZE: 12pt; mso-bidi-font-family: Calibri"><FONT
face=Calibri>Register as a group of 5 or more participants and get 25% discount
on the course fee. <o:p></o:p></FONT></SPAN></B></P>
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style="FONT-SIZE: 12pt; mso-bidi-font-family: Calibri"><FONT face=Calibri>Send
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style="mso-bidi-font-family: Calibri"><FONT
color=#410082>training@skillsforafrica.org </FONT></SPAN></A><FONT
face=Calibri>or call +254-702-249-449<o:p></o:p></FONT></SPAN></P>
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face=Calibri><B><SPAN
style="FONT-SIZE: 12pt; mso-bidi-font-family: Calibri"><SPAN
style="mso-spacerun: yes"> </SPAN>INTRODUCTION</SPAN></B><SPAN
style="FONT-SIZE: 12pt; mso-bidi-font-family: Calibri"><o:p></o:p></SPAN></FONT></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>As
per FATAF’s International Guidelines, The Board of Directors of any financial
institution has a fiduciary duty towards the organization to ensure that there
is a robust compliance program in place. The Board needs to set “the Tone from
the Top”, establish an effective control framework and effectively promote a
“culture of compliance”. A high-risk compliance responsibility entails the flow
of critical information to risk committees and boards and should be of relevance
to the overall governance purpose. Senior management in most financial
institutions have well-established procedures and policies for dealing with
overall operational risk’s like credit risk or market risk, but the practice of
dealing with Know Your Customer (KYC) and Anti-Money Laundering (AML) risk is
yet to mature. The AML/KYC compliance looks into transfer or conversion of
illicit gotten sources (black money) to legally accessible/taxable (white money)
funds, primarily using the financial institutions as a conduit for concealment
and disguise activities to happen.<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Technically
speaking, Board members are not required to be experts at AML knowhow, but, it’s
highly recommended and comes as industry best practice for BoD’s to acquire an
understanding of fundamental aspects of AML Risk Control Framework, in order to
effectively exercise their oversight responsibilities, as mandated by almost all
the national financial regulatory authorities. Under this understanding of the
regulatory environment in which the firm operates, the Board of Directors and
Sr. Management must have a basic working knowledge of applicable regulations,
including relevant requirements around the globe.<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>This
course will give the BoD’s and Sr. Mgmt. an understanding of the said framework
and will prove to be a means to appreciate the law enforcement mechanisms
working to maintain such said equilibrium and the resultant consequences of
non-compliance with these regulations viz. Reputation management, Shareholder’s
interests, legal ramifications, consequences of adherence failures, etc. This
training course designed for the Board Members, Heads of sub-committees and the
Senior Management will equip them to have a clear compliance understanding
towards transparency and visibility of the enterprise-wide compliance operations
and adherence duties.<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>COURSE
OBJECTIVES</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><BR>At
the end of the course, participants will be able to:<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Understand
and be equipped for regulating money laundering controls, it’s set-up and
requisite governance for regulatory violation prevention-oriented
approach<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Understanding
organizational vulnerabilities to (or complicit in) money laundering and
measures to tighten the controls<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Instructive
understanding and case studies of potential compliance failures and subsequent
management recourse<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Law
enforcement investigations, what triggers them, methods of dealing with them and
possible remedies<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Executive
liability for a compliance failure, possible scenarios, what are the next steps
and damage control<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Technology
set-up for the efficient flow of critical compliance and operational information
for seamless adherence and governance<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Board
members who participate in this course can benefit in the following
ways:<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Compliance
failure is a personally liable offence, hence steering clear of any actions is a
huge Personal Benefits<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Board
Members get to discuss and understand the compliance and the know
how<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>BoD’s
will further learn to strategize not only AML risks but any corporate risk
mitigation against any type of risks in a structured manner and build a system
to monitor, avoid and counter<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Understand
the working of Law Enforcement network under a particular regulatory guideline
as any anti-fraud or anti-malpractice or similar governance mechanisms are built
in the similarly executable manner<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>WHO
SHOULD ATTEND</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Following
individuals or groups will benefit from it:<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Board
of Directors<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Senior
Management of all functions<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Compliance
personnel<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Legal
team / retained-external counsel<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Designated
Director / MLRO / Compliance Officer<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>DURATION</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>10
Days<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>COURSE
CONTENT:</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Module
1 – Understanding the BoD / Sr. Management’s responsibilities towards
Compliance</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Appointment
of a Designated Director / Designated Compliance Officer / MLRO (Money
Laundering Reporting Officer)<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Cost
of Compliance<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Penalties
and Reputation Damage<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Loss
of Operational License / Charter<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Personal
Fines/Penalties<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Shareholder
Dissatisfaction<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Protect
the organization from being used for illegal purposes<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Be
aware of the Bank’s BSA/AML programs and activities<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Support
senior management in BSA/AML efforts<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Don’t
ignore or downplay indications that clients may be involved in illegal or
illicit activities<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Keep
BSA/AML matters confidential<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Unmatching
processes than their board-approved AML program<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Annual
review and approval of BSA/AML (and related) policies, along with the
appointment of the BSA Officer(s)<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Establish
a written PMLA/AML/OFAC compliance program, that is commensurate with their OFAC
risk profile<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Module
2 – Understanding the Basic five pillars of AML Compliance
(AML/PMLA/BSA):</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Establishing
a Culture of Compliance<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Written
policies, procedures and internal controls;<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>A
designated BSA compliance officer;<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>An
employee training program;<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Independent
testing of the BSA/AML program; and<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Customer
due diligence procedures<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Module
3 – Co-operating with Law Enforcement</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Investigations
Initiated by the Financial Institution<BR>Responding to a Law Enforcement
Investigation<BR>• Investigations Initiated by the Law
Enforcement<BR>• </SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif'><A
href="https://133IK.trk.elasticemail.com/tracking/click?d=4OEv-BBm5qTNrr_9rvB66_EuHhvBw-YWEMWdpQ4_kI6NTctcsWmUxFhwekgWDMr9oFavKO1bB_9fZn0cghczTPFl1uMuhFByS3h4Loog0PbTCp0fFZbTv61L4slltWg-ox680bzJ8O4av8VScXItHlc1"><SPAN
style="TEXT-DECORATION: none; COLOR: windowtext; text-underline: none"><FONT
face="Times New Roman">SUBPOENA</FONT></SPAN></A><BR>• SEARCH WARRANT<SPAN
style="COLOR: #333333"><o:p></o:p></SPAN></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Module
4 – Advance Engagements</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Cooperation
Between Countries and responding to AML/CFT MLATs<BR>International Inter-Intra
Organizational Co-operation & Procedures<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Module
5 – Corporate Outlook</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Obtaining
Counsel in the event of an Investigation Against a Financial
Institution<BR>Organization Reputation Management<BR>• Media Relations &
Correspondence<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Module
6 – Investigations Initiated by the Financial Institution</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Communicating
with Law Enforcement on STRs<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Investigations
Initiated by Law Enforcement<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Prosecutor
Decision against a Financial Institution for Money Laundering
Violations<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Response,
Monitoring and Cooperation from the Financial Institution to a Law Enforcement
Investigation<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 7.5pt 2cm; LINE-HEIGHT: normal"><B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Module
7 – Obtaining Counsel for an Investigation Against a Financial
Institution</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Retaining
Counsel<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Attorney-Client
Privilege applied to entities and individuals<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Dissemination
of a Written Report by Counsel<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Module
8 – Notices to Employees as a Result of an Investigation Against a Financial
Institution</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Employee
Interviews in the event of a Law Enforcement Action<o:p></o:p></SPAN></P>
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Investigation
Against a Financial Institution<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Media
Relations<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Module
9 – AML/CFT Cooperation Between Countries</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>FATF
Recommendations on Cooperation Between Countries<o:p></o:p></SPAN></P>
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>International
Money Laundering Information Network<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Mutual
Legal Assistance Treaties<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Financial
Intelligence Units<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Module
10 – Cost of Compliance</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Basic
Resources allotment<o:p></o:p></SPAN></P>
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Annual
Compliance Budget:<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Supporting
Compliance Teams’ BSA/AML efforts by requisite cost
allocation<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Technology
Costs – Acquisition process -> Licensing -> Implementation ->
Training<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Training/Consulting/Procurement
Vendors Costs<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Hiring Experienced
Compliance professionals<o:p></o:p></SPAN></P>
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style="FONT-SIZE: 10pt; FONT-FAMILY: Symbol; COLOR: #333333; mso-bidi-font-family: Symbol; mso-fareast-font-family: Symbol; mso-bidi-font-size: 10.5pt"><SPAN
style="mso-list: Ignore">·<SPAN
style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>GENERAL
NOTES</SPAN></B><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'><o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>This
course is delivered by our seasoned trainers who have vast experience as expert
professionals in the respective fields of practice. The course is taught through
a mix of practical activities, theory, group works and case
studies.<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Training
manuals and additional reference materials are provided to the
participants.<o:p></o:p></SPAN></P>
<P class=MsoNormal
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Upon
successful completion of this course, participants will be issued with a
certificate.<o:p></o:p></SPAN></P>
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style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>We
can also do this as tailor-made course to meet organization-wide needs. Contact
us to find out more: <A><SPAN
style="COLOR: #337ab7">training@skillsforafrica.org</SPAN></A><o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'> The
training will be conducted at SKILLS FOR AFRICA TRAINING INSTITUTE
<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>The
training fee covers tuition fees, training materials, lunch and training venue.
Accommodation and airport transfer are arranged for our participants upon
request.<o:p></o:p></SPAN></P>
<P class=MsoNormal
style="TEXT-ALIGN: justify; MARGIN: 0cm 0cm 10pt 2cm; LINE-HEIGHT: normal; TEXT-INDENT: -18pt; tab-stops: list 72.0pt; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; mso-list: l0 level2 lfo1"><SPAN
style='FONT-SIZE: 10pt; FONT-FAMILY: "Courier New"; COLOR: #333333; mso-fareast-font-family: "Courier New"; mso-bidi-font-size: 10.5pt'><SPAN
style="mso-list: Ignore">o<SPAN style='FONT: 7pt "Times New Roman"'>
</SPAN></SPAN></SPAN><SPAN
style='FONT-SIZE: 10.5pt; FONT-FAMILY: "Helvetica",sans-serif; COLOR: #333333'>Payment
should be sent to our bank account before start of training and proof of payment
sent to: <A><SPAN
style="COLOR: #337ab7">training@skillsforafrica.org</SPAN></A><o:p></o:p></SPAN></P>
<P class=MsoListParagraph
style="MARGIN: 5pt 0cm 0pt 22.5pt"><o:p> </o:p></P>
<P class=MsoNormal style="MARGIN: 0cm 0cm 10pt"><o:p><FONT
face=Calibri> </FONT></o:p></P></DIV></BODY></HTML>
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