Open Source Intelligence for Financial Investigators – Module 3

Course Overview

During this third module, the recent changes in North
American and European legislation regarding financial crime will be set out, and
the implications for corporates and senior executives will be explained. The
module then focusses on three specific types of investigations that corporates
and financial service companies will need to carry out. Students will be shown
how to investigate corporate ownership structures to uncover the ultimate
beneficial owners; they will learn how to investigate the family and associate
structures of Politically Exposed Persons (PEP’s); and finally, how to conduct an
enhanced due diligence investigation that meets with current corporate needs. As financial institutions are now required to monitor PEPs and higher risk clients on an ongoing
basis, and can no-longer rely solely on third-party systems, we will introduce students to a couple of key commercial real-time monitoring platforms and will explain how to
put together a real-time monitoring system. Finally, for financial institutions and asset managers, a key issue that often needs to be resolved is
tracking an individual’s “sources of wealth”; we will guide students through this
process.