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Why Compliance and Financial Crime Risk Management Systems Fail

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The Financial Crime Forum



Why compliance and financial crime

risk management systems fail.


Nigel Morris-Cotterill.

Counter-Money Laundering and anti-Terrorist Financing strategist, compliance and risk adviser around the world since 1994, previously a solicitor specialising in litigation and business compliance.

Almost every fine or penalty levied against banks in the past two decades was in respect of financial crime risks and conduct Nigel Morris-Cotterill had warned about in seminars, books and/or articles.

Bet they wish they'd paid more attention.

Why did they fail?

This one day masterclass explains why failure happens.


Who should attend?


The enforcers:

Regulators, investigators, prosecutors, judges and tribunal panellists.

The industry:

Which industry? All industries and all government departments especially those dealing with procurement, sales and handling other people's money. Financial crime includes bribery, corruption, fraud, money laundering, terrorist financing - and that's just the big five. If you are involved in commercial activity, you can be a perpetrator, a vehicle for a perpetrator or a victim. So, pretty much everyone in government, industry, commerce or finance, then.


Don't send your juniors. This seminar is for senior managers and directors with decision making powers. Condensed into one day because your time is valuable, the course is intensive.

Language / Proficiency : English. The ability to read, write and converse in English is essential.

The venue

Hong Kong : Central. Venue to be advised direct to confirmed delegates one week before event.

London: City / Holborn.  Venue to be advised direct to confirmed delegates one week before event.


Why is it that financial crime compliance and risk management systems fail? There are many and varied causes, starting at the top and reaching into the minds of individual staff. The consequences of failure can be catastrophic for even large businesses. Reputational damage means that even localised action can have a global effect and encourage enforcement agencies in other jurisdictions to pay close attention.

Investigators and regulators, prosecutors and judges / tribunal members need to ascertain why failures happen. Is it always the fault of a "responsible officer?" Surely not. Individuals carry a huge responsibility under a wide range of laws. Where is their protection when systems fail?

Increasingly, countries are encouraging "whistleblowers" who are, in some circumstances, allowed to tell their story to the press. Can companies defend themselves against the chances of it happening?

As popular focus shifts to regtech and AI, with buzzword bandits tossing in "the blockchain" for good measure, can they be the golden bullet that destroys all risk? And what about crypto-currencies and other assets? Where do they stand in your company's risk profile - and what stance should regulators and investigators adopt when they find them?


All tickets are sold on our standard terms and conditions. Please see the links at the end of this page.

The price includes morning coffee, afternoon tea and lunch plus seminar materials as distributed.

Tickets are available only by purchase via the Financial Crime Forum Website: see the links at the bottom of this page.

Your transaction is processed by Shopify, one of the leading internet payment processors. We do not ever see your card information.

Tickets are limited to 30 participants for each event.

Prices are in GBP. UK VAT is not applicable to organisations outside the EU/UK for events outside the UK/EU and is therefore not quoted in the ticket price.

If you are an EU/UK organisation paying for local delegates, please let us know by completing the enquiry form and we will prepare a VAT invoice for you.

For events in the UK, for UK delegates, VAT is payable in addition to the quoted prices. For EU delegates, follow the procedure during the payment process to avoid UK VAT being charged.

Price per person:



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