Integrity in Action: Mastering Compliance & Ethics in Private Banking Rules, Regulations, Compliance & Ethics (RRCE)
TGS–2025058844
Target Audience
Private Bankers & Relationship Managers
Duration
4 CPD Hours
Core FAA/SFA Hours
4 Hours
Assessment
MCQ
Gain practical tools to master compliance in private banking with this self-paced program. Through engaging case studies, you’ll learn to apply AML, CFT, and KYC standards while enhancing credibility and client trust.
Program Overview
Learning Objectives
- Master KYC protocols through scenario-based training to effectively probe client backgrounds and financial histories, fostering trust and stronger client relationships.
- Apply Client Investment Suitability principles to propose customized investment solutions that align with AML, CFT, and regulatory standards, ensuring ethical and compliant client interactions.
- Emphasize compliance as a strategic tool to position private bankers as credible, informed advisors dedicated to both regulatory excellence and client success.
Program Introduction & Orientation
Introduction to the program and its significance in promoting ethical standards and regulatory compliance in private banking.
6 Modules
Ethics and Behavior in Private Banking
Anti-Money Laundering (AML), Financial Crime Compliance (FCC), and Counter-Terrorism Financing (CFT)
Know Your Customer (KYC)
Data Privacy and Protection
Investment Suitability and Conflict of Interest Management
Cybersecurity and Operational Resilience
Each Module Includes
Engaging Simulation Introduction: Starts with a ‘crime scene’ investigation case scenario to capture participants’ attention, followed by an MCQ to engage them right from the start.
Sense-Making:
- Highlights the importance of mastering the module’s topics.
- Includes Reading & Watching Content with articles and videos to deepen understanding.
- Features Knowledge Check Activities for interactive exercises to ensure comprehension and retention.
Scenario-Based MCQ Case Assessment: Tests participants’ application of the module’s lessons in real-life scenarios.
Additional Reading: Recommended resources for further exploration of topics.
Final Assesment: MCQ
Key Value Propositions: Integrity in Action – Compliance & Ethics in Private Banking
Building Trust Through Compliance
Designed for private bankers and relationship managers, this program ensures participants can confidently navigate AML, CFT, KYC, data privacy, and operational resilience — all while reinforcing integrity and long-term client trust.
Engaging Learning
Participate in interactive, scenario-based simulations and case studies that make complex compliance and ethical challenges clear and memorable. The program goes beyond theory, focusing on real-world application in private banking.
Regulatory Mastery
Gain practical tools and frameworks in Know Your Customer (KYC), Anti-Money Laundering (AML), Counter-Terrorism Financing (CFT), data privacy, and investment suitability. These skills help you meet regulatory standards while fostering stronger and more trustworthy client relationships.
Resilient Practice
Develop confidence to manage conflicts of interest, safeguard data, and strengthen cybersecurity and operational resilience. The program equips you to navigate today’s evolving compliance risks while maintaining integrity and sustainable client outcomes.
Integrity in Action: Mastering Compliance & Ethics in Private Banking Rules, Regulations, Compliance & Ethics (RRCE)
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