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Advanced Sanctions - Securities & Investments

2 Part Course  |  Analyse and learn to develop a critical understanding of the impact of sanctions risks in issuing, trading, selling or facilitating securities

A bridge with intricate architecture and the clear sky

A one-day course presented over two-half days in a virtual class from 9:30am to 12:30pm UK time

Part One

Session 1: Ownership & Customer Due Diligence

The challenge of determining ownership structures is given the propensity for sanctioned individuals and entities to use family members and other proxies.

  • The Ownership Challenge
  • OFAC 50% Rule
  • OFAC 33% Rule
  • Magnitsky Acts & Deterrence
  • Oligarchs, Proxies, Hidden Wealth
  • Sanctions Narrative, Customer Ecosystem
  • Enhanced Due Diligence on Beneficial Ownership
  • Sanctions Decision Framework

Case Study: US CDD Loopholes

Team Exercise: Hidden Ownership

Session 2: US Sanctions on Russia: I

  • Countering American Adversaries Through Sanctions Act (CAATSA)
  • Russian Sectoral Sanctions Identifications (SSIs)
    • Directives 1, 2, 3 & 4
    • SDN sanctions and Non-SDN sanctions
    • Permissible Debt Transactions
    • Permissible Equity Transactions
    • Maturities
    • Effective Dates
    • US Persons
    • Secondary Sanctions
    • Transactions with the Russian State Sector
    • Non-US Persons
    • Facilitating Transactions
  • Restrictions & Definitions
    • Debt
    • Equity
    • Investments
    • Securities
    • Money Markets
    • Loans
    • Derivatives
    • Facilitating

Team Exercise: Company A

Case Study: Russian Offshore Financing

Case Study: Sibneft Privatisation

Exercise: Sanctions Product Evaluation

Case Study: The Russian Laundromat

Part Two

Session 3: US Sanctions on Russia: II

  • US Sanctions on Crimea
  • Russian Harmful Foreign Activities
  • Executive Order 14024
    • Technology, Defence and Related Sectors
    • Digital and Physical Assets
    • Blocked Countries
    • Further Restrictions
    • Restrictions on the Russian Sovereign Debt Market
    • Correspondent & Payable Through Accounts
    • Financial Institutions
    • Further Debt & Equity Restrictions
    • Central Bank, Ministry of Finance and Sovereign Wealth Fund
    • Immobilisation of Assets
  • Executive Order 14065 Prohibitions on DNR & LHR (Donetsk and Luhansk People’s Republics)
    • Financing, Investment and Facilitation Provisions
  • Executive Orders 14066 & 14068
    • Energy Products
  • Executive Order 14071
    • Services
    • Investments
  • Other Russian securities Sanctions
  • General Licenses
  • Permissible Payments & Fund Transfers

Discussion: US Asking Major Banks to Continue Doing Business With Russia

Session 4: EU Sanctions on Russia

  • Restrictions on Investment in Crimea & Sevastopol
  • Individuals & Entities
  • General Restrictions
    • Economic
    • Financing of Goods & Services
    • Investments
    • Financial Sector
    • Capital Markets
    • Central Bank & Management of Reserves
    • SWIFT
    • Deposits
    • Public Financing
    • Trust, Investment & Associated Services
    • Industry Sectors
    • Real Estate
  • Prohibitions on Russian Entities & Central Banks & Definitions
    • Investment Services
    • Transferable Securities
    • Money Markets
    • Brokering & Financing
  • Non-Certification of Nord Stream 2
  • Definitions
    • EU sanctions Transferable Securities
    • Investment Services
    • Brokering Services
    • Financing

Session 5: UK Sanctions on Russia

  • The Russia (Sanctions) (EU Exit) Regulations 2019
    • Office of Financial Sanctions Implementation (OFSI) Guidance
    • Special Rules: Financial Services Processing of Transactions
    • Loans
    • Money Markets
    • Securities
    • Derivatives
  • Crimea Investment Restrictions
  • General Sanctions Measures & Definitions
    • Major Russian Banks
    • Asset Freezes
    • Action on Asset Freezes
    • Sterling Payments & Clearing
    • Raising Finance & Borrowing in UK Markets
    • Deposits
    • Russian State Entities
    • Foreign Exchange Reserve & Asset Management Services
    • Insurance Services
  • Trade & Investment Restrictions
    • Energy
    • Dual-Use Goods
    • Critical Industries
    • Financial Services
    • Funds
    • Brokering Services
  • Licenses
  • Other Western Sanctions on Russia

Session 6: Sanctions on Belarus

  • Focus on Regime
  • Major Sectors of the Economy
  • Dual-Use Goods & Technology
  • Military, Defence & Security
  • Sovereign Institutions
  • Government Debt
  • Derivatives
  • Correspondent Accounts
  • Financial Markets
  • Transferable Securities
  • Money Markets
  • Insurance Services

Session 7: Iran, North Korea, Syria & Cuba

  • UNSC (United Nations Security Council) Sanctions
  • State Sponsors of Terrorism
  • US, EU & UK Sanctions & Conflicting Views
  • Targeting the Regimes
  • State Entities
  • General Restrictions
    • Goods
    • Dual-Use Goods
    • Gold & Previous Metals
    • Industries & Economic Sectors
    • Financing
    • Banks
    • Financial Institutions
    • Facilitation
    • Guaranteeing
    • Investments
    • Sovereign Debt

Case Study: North Korean Sanctions Evasion

Session 8: China, Venezuela & Myanmar

  • Chinese Sanctions & Prohibitions
    • Chinese Military Industrial Companies
    • Names
    • Application of 50% Rule to Subs
    • Effective Date
    • Securities
    • Derivates
    • Permissible Services
    • Index Funds & ETFs (exchange-traded fund)
    • Investment Advisory Services
  • Venezuela Sanctions & Prohibitions
    • Government
    • PdVSA (Petróleos de Venezuela S.A.)
    • Access to US Financial Markets
    • Debt
    • Equity
    • SDN Designations
    • General Licences
    • EU/UK Sanctions
  • Myanmar
    • Regime Sanctions
    • Asset Freezes & Prohibitions

Case Study: Hunger Bonds

Session 9: Other Relevant Programmes

  • Asset Freezes & Or Prohibition of Funds / Financing
    • Turkey
    • Libya

The sanctions course trainer, MBA FCCA, is an investment banking governance, audit, risk and global sanctions compliance specialist who has extensive international experience. He holds an MBA from CASS Business School, London and is a Chartered Certified Accountant.

He worked for Price Waterhouse in Kingston, Jamaica prior to arriving in London just after Big Bang in 1986 and subsequently worked for a number of major institutions including Manufacturers Hanover Trust, Continental Bank, CIBC and ABN AMRO. His roles have included internal audit, product control, risk management and SOX (Sarbanes-Oxley Act).

In addition to gaining experience in the major global financial centres, the above roles covered all aspects of regulation, governance and internal controls over the origination, sales and trading of a broad range of investment banking and capital market products. These products include: credit trading and credit derivatives; asset securitisation and structured finance; foreign exchange and foreign exchange options; interest rate derivatives; commodities and treasury.

He has also served as a business manager where he played a leading role in the development and implementation of major strategic initiatives within global banking and markets. This was followed by the delivery of a training and cultural change programme in alignment with that strategy, across 50 countries.

The trainer currently focuses on delivering financial crime courses for major banks (HSBC, Soc Gen, RBS, Lloyds, Nordea and Handelsbanken) covering AML, Sanctions, Tax Evasion, Terrorist Financing Bribery & Corruption, as well as their related governance aspects. This delivery encompassed frontline staff and senior managers across global, private, corporate and retail banking in the UK, Europe, Asia, Middle East, Africa, US and the Americas.

He has also run train the trainer (TTT) courses and presented in front of US regulators. In addition, he delivers training programmes in Audit, Operational Risk, Treasury, Basel III, Liquidity Management, Capital Management and the Internal Capital Adequacy Assessment Process (ICAAP).

He has delivered over 150 courses online via WebEx and Zoom.

  • The course objectives are to analyse and develop a critical understanding of the impact of sanctions on securities, financing and investments, within the context of related capital market / wholesale banking products and related services
  • The sanctions webinar will focus on both major and other relevant sanctions regimes, where there are specific securities, finance and investment sanctions risks, including
    • EU, US & UK Sanctions on Russia
    • EU, US & UK Sanctions on Belarus
    • Iran, North Korea, Syria & Cuba
    • China, Venezuela & Myanmar
    • Other Relevant Programmes

  • Our sanctions compliance training will provide a systematic and comprehensive analysis of the impact of sanctions on securities, financing, investments and related products and services.
  • Special emphasis is placed on OFAC (Office of Foreign Assets Control) Russian sanctions and is regularly updated to reflect the most recent changes.
  • The sanctions compliance training will be interactive and include many practical aspects of the application of sanctions to securities and investment activities.
  • The course is delivered by a trainer with 8 years of experience in training financial crime for major banks across the globe, as well as extensive involvement in the capital markets, having worked as a business manager in the global financial markets divisions of ABN(Algemene Bank Nederland) AMRO (Amsterdamsche en Rotterdamsche Bank) and CIBC (Canadian Imperial Bank of Commerce).

Our advanced sanctions compliance course is a perfect fit for the following staff:

  • Banks, assets managers, hedge funds, brokers and other financial institutions including: 
    • Compliance, Audit, Legal and other Risk Professionals
    • Frontline Relationship Managers, Advisors, Salespersons and Traders who make routine decisions on financing and investment on behalf of their customers and their firms
    • Customer Due Diligence, Transaction Processing, Operations and Administrators
  • International Law Firms, Accountants, Real Estate Agents, Trust & Corporate Services
  • Commodity Trading Firms
  • Exchanges, Multilateral Trading Facilities and Depositories
  • Oil companies and Multinationals

Our financial sanctions training is designed to improve your awareness and knowledge of sanctions risks in issuing, trading, selling or facilitating securities transactions.

It focuses on the specific US & EU sanctions regimes and the practical differences and difficulties in their implementation. Ofac sanctions training will be of significant benefit to sanctions specialists, financial crime specialists and other risk professionals, as well as executives and managers who have a responsibility for managing securities and investments in a range of financial institutions.

  • Presentation was lively and there was good interaction with participants
  • The structure, cases and examples were all great
  • The instructor was able to explain the content and was clearly very knowledgeable in this field as he was able to answer questions succinctly and add additional depth to the topic. The explanations of the level of sanctions and how far reaching these were, along with the case studies
Number of places:
Part 1

£ 695.00

Number of places:
Part 2

£ 695.00

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