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Advanced Sanctions - Securities & Investments

Name: Advanced Sanctions - Securities & Investments - Part 1
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2 Part Course | By the end of this course, you will develop a critical understanding of the risks and impact of sanctions in issuing, trading, selling or facilitating securities.

A bridge with intricate architecture and the clear sky

A one-day sanctions and securities compliance training presented over two-half days in a virtual class

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In-house pricing available – often more cost-effective for teams of 10+

Download: Course Outline

Session 1: Ownership & Customer Due Diligence

The challenge of determining ownership structures, 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 and hidden wealth
Sanctions narrative and customer ecosystem
Enhanced due diligence on beneficial ownership
Sanctions Decision Framework

Securities Compliance Training 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 and Non-SDN
- 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 and 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

Session 3: US Sanctions on Russia: II

The US sanctions on Crimea
Russian Harmful Foreign Activities
Executive Order 14024:
- Technology, defence and related sectors
- Digital and physical assets
- Institutions
- Further restrictions
- Restrictions on the Russian Sovereign Debt Market
- Correspondent and payable-through accounts
- Financial institutions
- Debt and equity restrictions
Prohibitions on DNR & LHR:
- Financing, investment and facilitation provisions
Energy Products
Services
Investments
General licenses
Permissible payments and fund transfers

Participant Discussion: The US is asking major banks to continue doing business with Russia

Session 4: EU Sanctions on Russia

Restrictions on investment in Crimea and Sevastopol
Individuals and entities
General restrictions:
- Economic
- Financing of goods and services
- Investments
- The financial sector
- Capital markets
- Central Bank and management of reserves
- SWIFT
- Deposits
- Public financing
- Trust, Investment & Associated Services
- Industry sectors
- Real Estate
Prohibitions on Russian entities, central banks and definitions:
- Investment services
- Transferable securities
- Money markets
- Brokering and Financing
Definitions:
- 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 sanction measures and definitions:
- Major Russian Banks
- Asset freezes
- Action on asset freezes
- Sterling payments and clearing
- Raising finance and borrowing in UK markets
- Deposits
- Russian state entities
- Foreign Exchange Reserve and Asset Management Services
- Insurance services
Trade and 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 the Regime
Major sectors of the economy
Dual-use goods and technology
Military, defence and security
Sovereign Institutions
Government debt
Derivatives
Correspondent accounts
SWIFT
Financial markets
Transferable securities
Money markets
Insurance services

Session 7: Iran, North Korea, Syria & Cuba

UNSC sanctions
State sponsors of terrorism
US, EU and UK sanctions, along with conflicting views
Targeting the Regimes
State Entities
General restrictions:
- Goods
- Dual-use goods
- Gold and precious metals
- Industries and 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 the 50% rule to Subs
- Effective date
- Securities
- Derivates
- Permissible services
- Index Funds and ETFs (exchange-traded funds)
- Investment Advisory Services
Venezuelan sanctions and 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 and prohibitions

Case Study: Hunger Bonds

Session 9: Other Relevant Programmes

Asset Freezes and/or prohibition of funds/financing:
- Turkey
- Libya

Our securities compliance course instructor is an investment banking governance, audit, risk, and compliance specialist with extensive international experience. He holds an MBA from Bayes Business School (formerly Cass) in London and is a Chartered Certified Accountant.

After beginning his career with Price Waterhouse in Kingston, Jamaica, he moved to London following the Big Bang in 1986. He subsequently worked for several major financial institutions, including Manufacturers Hanover Trust, Continental Bank, CIBC, and ABN AMRO.

His roles have encompassed internal audit, product control, risk management, and SOX compliance. Working across major global financial centres, he has gained comprehensive experience in regulation and compliance, governance, and internal controls covering the full lifecycle of investment banking and capital market products, including:

Credit trading and credit derivatives
Asset securitisation and structured finance
Foreign exchange and FX options
Interest rate derivatives
Commodities and treasury operations

Leadership and Strategic Experience

As a business manager, he played a leading role in developing and implementing major strategic initiatives within global banking and markets. He delivered training and cultural change programs aligned with these strategies across 50 countries.

Current Training Expertise

Today, our sanctions and securities compliance course specialist delivers financial crime compliance programs for major banks, including HSBC, Société Générale, SMBC, RBS, Lloyds, Nordea, and Handelsbanken. His training covers:

Anti-Money Laundering (AML)
Sanctions compliance
Tax evasion prevention
Terrorist financing prevention
Bribery and corruption prevention
Related governance aspects

His training reaches frontline staff and senior managers across global financial compliance, private banking, corporate banking, and retail banking in the UK, Europe, Asia, the Middle East, Africa, the US, and the Americas.

Specialised Programs

He served as a Master Trainer on HSBC's global financial crime training program and has developed specialist AML and sanctions workshops focused on financial market products, securities, and investments. He has also:

Conducted train-the-trainer (TTT) courses
Delivered presentations for US regulators
Provided training in Audit, Conduct Risk, Operational Risk, Treasury, Basel III, Liquidity Management, Capital Management, and the Internal Capital Adequacy Assessment Process (ICAAP)

Additional Experience

As an Associate of RSM, he conducted several financial crime and regulatory compliance reviews for institutional clients. He is also the author of three books, including Clearing The Bull: The Financial Crisis And Why Banks Need A Human Transformation (2012, iUniverse).

Develop a critical understanding of the impact of sanctions on securities, financing and investments, within the context of related capital markets, wholesale banking products and related services.
Investments and securities compliance training will cover major and relevant sanctions regimes where there are specific securities, finance and investment sanctions risks, including:
- EU, US and UK Sanctions on Russia
- EU, US and UK Sanctions on Belarus
- Iran, North Korea, Syria and Cuba
- China, Venezuela and Myanmar
- Other relevant programmes

Redcliffe’s advanced sanctions and securities compliance training will provide a systematic and comprehensive analysis.
Master the impact of sanctions on securities, financing, investments and related products and services.
A special emphasis is on Russian sanctions, which is regularly updated to reflect the most recent changes.
The course is interactive and includes many practical aspects of the application of sanctions to securities and investment activities.
This securities compliance course specialist has 8 years of experience in training and combating financial crime for major banks across the globe. He has extensive involvement in the capital markets, having worked as a business manager in the global financial markets divisions of ABN AMRO and CIBC.

This course is a must-know for:

Banks, asset managers, hedge funds, brokers and other financial institutions, including:
- Compliance Professionals, 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

Redcliffe Training's Advanced Sanctions: Securities and Investments course will improve your awareness and knowledge of sanctions. This includes issuing, trading, selling or facilitating securities transactions.

We focus on the specific US and EU sanctions regimes and the practical differences and difficulties in their implementation. This course will be of significant benefit to sanctions specialists, financial crime specialists and other risk professionals, as well as executives and managers responsible for managing securities and investments in a range of financial institutions.

The 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.
Really comprehensive course which provided me with a good understanding of the different sanctions across the US, the UK and the EU and how they differ.

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(min. 50 participants)