Financial Crime Risks in the Investment Sector

Samantha Sheen

Financial Crime Risks in the Investment Sector

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Course Overview:

Financial Crime Risks in the Investment Sector by Samantha Sheen

Regulators have recognised the potential risks of illicit actors to misuse investment-related products and services through both internal fraud and laundering the proceeds of crime.

This course will consider the financial crime(FC) risks related to investment/capital markets. It will examine how those risks arise and the “red flags” that may detect their presence.

Using recent case studies, participants will review the tactics adopted by illicit actors to conceal their identity, activities and source of funds, with a focus on the use of legal entities and complex business arrangements across different jurisdictions.

The course is intended to complement other courses that may provide in-depth training (ACAMS or ICA) and contribute to the fulfilment of ongoing CPD obligations.

Training Objectives:

By the end of the programme, participants will be able to:

  • Comprehend the types of FC risks to which their business may be exposed

  • Raise awareness about the tactics employed to launder the proceeds of crime using investment-related products and services

  • Assess the reliability of controls to detect and prevent FC risks related to capital market activities

  • Formulate a strategy to raise awareness across your organisation about the FC risks reviewed

Training Outline:

The live programme comprises a session of instruction, incorporating interactive question and answer points throughout and illustrated key learning points with real case examples.


  • Introduction – Scope of FC in the investment/capital markets sectors

  • Internal FC Risks:

    • Market Abuse,

    • Insider Trading

    • Fraud


  • Operational challenges – mitigating internal FC risks

  • External FC Risks: FC crime in the investment/capital markets sectors

    • Asset Management

    • Fund Administration

    • Brokerage

    • Capital market products


  • Operational challenges – mitigating external FC risks

  • Virtual Group Exercise Session

  • Closing Observations

Training Style:

The programme is designed to deliver knowledge and enhance participants’ skills via short lectures, case studies and practical examples. Participants will also benefit from feedback at the end of the programme and take away the knowledge gained to be transferred to their workplace. The live online method of presentation will allow for interaction with the trainer in real-time and allows for questions to be posed by participants during the sessions.

CPD Recognition:

This programme may be approved for up to 2.5 CPD units in AML and Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

The Association of Anti-Money Laundering Specialists (ACAMS) has confirmed that this programme is accredited for 5 CAMS Credits. Participation in this course does not substitute the requirement to earn (12) ACAMS credits through ACAMS produced training for CAMS recertification.

Who Should Attend?

  • Front line staff responsible for customer onboarding

  • Members of anti-FC compliance teams

  • Managers and supervisors of anti-FC compliance teams

  • MLROs and Compliance Officers

  • Members of transaction monitoring and investigation teams

  • Chartered and accredited accountants

  • In-house legal counsel / solicitors

  • Internal Auditors responsible for FC audits

  • External Auditors, solicitors and professional consultants


Who is Samantha Sheen?

Samantha Sheen is the founder and Director of Ex
Ante Advisory Services Limited, a consultancy services firm providing advice
and assistance to regulators and financial institutions in a variety of areas
related to the prevention of financial crime. Sam is a financial crime
prevention professional with over 15 years of practical experience in


Sam holds a number of qualifications and is recognised as a subject matter expert in the field of financial crime. Sam most recently worked with ACAMS Europe as its AML Director and is a member of the Chapter in the UK. Sam is recognised by ACAMS as a subject matter expert in sanctions and has co-authored a number of online certificate courses, facilitated working groups on 4/5AMLD in Europe and assistance in the development of white papers. Originally from Montreal, Quebec (Canada), Sam holds a Bachelor of Public Administration, Law Degree, qualified as a barrister and solicitor and holds her Masters in Business, specialising in risk management.


Sam’s previous work experience includes working as MLRO, Data Protection Officer and CCO and Group Head of AML for various financial institutions, both offshore and in Europe. Sam also worked offshore for several years as the first legal counsel to the financial regulator in Guernsey and subsequently set up the financial crime division, overseeing the examination of a variety of financial institutions. She continues to maintain ongoing engagement with other regulators on financial crime matters.

Sam has extensive training experience in the field of financial crime prevention and corporate governance matters. She has most recently been involved in projects related to FinTech businesses, the use of RegTech to mitigate financial crime and list management relating to the screening of customers and third parties.

Additional Details


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Live Online (Zoom)

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