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AML/CTF – Financial sanctions and cooperation

Statut actuel

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Welcome to this training

1. Cooperation obligations with AML/CTF supervisory authorities 2 Chapitres | 1 Quiz

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1.1 Cooperation with the CSSF

1.2 Cooperation with the FIU

2. Supervision and sanctions applicable in the event of non-compliance with professional obligations 4 Chapitres | 1 Quiz

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2.1. Monitoring of professionals

2.2. Supervisory powers of supervisory authorities and self-regulatory bodies

2.3 Sanctions imposed by supervisory authorities and self-regulatory bodies

2.4. Criminal sanctions applicable in the event of non-compliance with AML/CTF requirements

3. Financial sanctions and restrictive measures in financial matters 5 Chapitres | 1 Quiz

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3.1 Legal framework applicable in Luxembourg and financial sanction regimes

3.2. Authorities responsible for financial sanctions, responsibilities and applicable penalties

3.3 Obligations of the professional with regard to financial penalties

3.4. Circumventing financial penalties

3.5. Indicators for identifying an attempt to circumvent financial penalties

4. Freezing of funds and economic resources 3 Chapitres | 1 Quiz

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4.1. Action to be taken in the event of a frozen account or with a designated person

4.2. Notions of ownership, possession and control

4.3 Focus on legal entities

5. UN designations

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