Financial Services Compliance
Course Rating
Active Learners
What's included in this Course
- 6 Articles
- Access on Mobile and PC
- 6 Exercises 1 Final Quiz
- Life Time Access
Financial Services Compliance Course Overview
The Financial Services Compliance course covers the French financial compliance system, regulatory architecture, professional accountability, client protection, market integrity, financial crime controls, and compliance risk governance.
The curriculum covers the roles of the AMF, ACPR, Banque de France, and TRACFIN, along with the French Monetary and Financial Code, AMF General Regulation, European supervisory influence, compliance functions, professional ethics, and individual accountability. It also addresses MiFID II client classification, suitability, appropriateness, product governance, conflicts of interest, market abuse, complaints handling, vulnerable customer protection, and financial promotions.
The course further explores LCB-FT, customer due diligence, beneficial ownership, politically exposed persons, sanctions screening, suspicious transaction detection, Sapin II, third-party integrity, compliance risk mapping, internal controls, fraud prevention, and audit readiness. Additional topics include sustainable finance, GDPR, CNIL expectations, DORA, ICT risk, operational resilience, EU AML reform, MiCA, fintech, regulatory examinations, compliance dashboards, and continuous regulatory readiness.
What Is Included in This Course?
The course covers six key areas of financial services compliance:
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French Financial Compliance System
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Client Protection and Market Integrity
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LCB-FT and Financial Crime Controls
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Corporate Integrity and Compliance Risk
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Sustainable Finance and Digital Compliance
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Strategic Compliance and Regulatory Readiness
Course Curriculum
7 sections 3 Hours total length
Module 1 — The French Financial Compliance System and Professional Accountability
- France’s Financial Regulatory Architecture and the Roles of the AMF, ACPR, Banque de France, and TRACFIN
- The French Monetary and Financial Code, AMF General Regulation, and European Supervisory Influence
- Compliance Functions, Professional Ethics, AMF Knowledge Requirements, and Individual Accountability
- Building a Compliance Culture Through Governance, Documentation, Escalation, and Regulatory Evidence
Module 2 — Client Protection, Investment Conduct, and Market Integrity
- MiFID II Client Classification, Suitability, Appropriateness, and Duty of Care in French Financial Services
- Product Governance, Target Markets, Fees, Conflicts of Interest, and Fair Customer Communications
- Market Abuse Regulation, Inside Information, Personal Dealing, Suspicious Orders, and Manipulation Risks
- Complaints Handling, Vulnerable Customer Protection, Financial Promotions, and AMF Supervisory Expectations
Module 3 — LCB-FT, Customer Due Diligence, and Financial Crime Control
- The French LCB-FT Framework, ACPR Supervision, TRACFIN Reporting, and the Risk-Based Approach
- Customer Identification, Beneficial Ownership, Business Relationship Knowledge, and Ongoing Due Diligence
- Politically Exposed Persons, High-Risk Relationships, Sanctions Screening, and Asset-Freezing Controls
- Suspicious Transaction Detection, Internal Escalation, Confidentiality, Recordkeeping, and Reporting Decisions
Module 4 — Corporate Integrity, Internal Control, and Compliance Risk Governance
- Sapin II Anti-Corruption Duties, Influence-Peddling Risks, Third-Party Integrity, and Whistleblower Protection
- Compliance Risk Mapping, Control Design, Three Lines of Defense, and Management Accountability
- Fraud Prevention, Accounting Controls, Conflicts of Interest, Gifts, Hospitality, and Investigation Readiness
- Internal Control Reporting, Compliance Monitoring Plans, Audit Trails, Remediation, and ACPR Inspection Preparation
Module 5 — Sustainable Finance, Data Protection, and Digital Compliance
- Sustainable Finance Conduct, Client Sustainability Preferences, SFDR Awareness, and EU Taxonomy Concepts
- AMF Finance Durable Expectations, ESG Product Disclosures, Suitability Evidence, and Greenwashing Prevention
- GDPR, CNIL Expectations, KYC Data Handling, Monitoring Data, Privacy Controls, and Secure Retention
- DORA, ICT Risk, Outsourced Technology, Operational Resilience, Incident Management, and Third-Party Oversight
Module 6 — Strategic Compliance Readiness for Modern French Financial Institutions
- EU AML Reform, AMLR, AMLD6, AMLA, and Preparing French Institutions for the Single Rulebook Environment
- Fintech, Crypto-Assets, MiCA, Digital Distribution, and Emerging Customer Protection Risks
- Regulatory Examinations, Compliance Dashboards, Management Reporting, and Evidence-Based Assurance
- Designing a Sustainable French Financial Services Compliance Program for Continuous Regulatory Readiness
Mock Quiz
What you'll learn
Why Choose Us
Who is this course for
Requirements
Certification
Upon successful completion of this course, learner will receive a free Certificate of Completion. Learner can choose the preferred language of the certifcate whether they want it in english or french.
