Summary

This course provides finance industry professionals with insights into the UBS tax evasion and money laundering scandal involving U.S. clients. Participants will learn about regulatory requirements, compliance failures, red flags, and preventive measures that could have helped UBS avoid facilitating tax evasion and money laundering.

This course is one of several courses within the Certificate in AML Case Analysis. If you wish to achieve this award, you must complete this course along with all other mandatory courses in the associated learning plan.

Audience

Course Objectives

• Understand the details and impact of the UBS tax evasion and money laundering scandal, including the key factors that led to compliance breakdowns

• Identify red flags and risk indicators that could indicate potential tax evasion or money laundering

• Recognise regulatory obligations and compliance requirements for financial institutions, especially those serving cross-border clients

• Apply lessons learned from the UBS case to strengthen AML and tax compliance programmes

Course Structure

• Section 1: Overview of the UBS Tax Evasion and Money Laundering Scandal

• Section 2: Regulatory Requirements and Compliance Obligations Impacting on the Case

• Section 3: Key Red Flags and Risk Indicators in the UBS Scandal

• Section 4: Lessons Learned from the UBS Scandal

• Section 5: Case Studies

• Knowledge Evaluation

Duration & CPD Hours

This course should take you between 45 and 90 minutes, depending upon your pace of learning. Additionally, this course is accredited by The CPD Certification Service and carries 1.5 CPD hours.