London Governance & Compliance Academy

Money Laundering at the Securities Market

Nadine Ghosn Eid

Money Laundering at the Securities Market

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Course Overview 


The Securities market plays a major role in the global economy and provides traders worldwide with an immeasurable exposure as well as a direct entrance to the global financial system, and hence the potential to earn big sums of money. Products offered in this industry are expansive, and many are sophisticated; some are designed to be sold to the general public and others are tailored to the specific needs of single buyers. Many transactions are executed electronically and across international borders. Some of the characteristics attributed to the industry, including its speed in executing transactions, its worldwide outreach, and its flexibility, can make it appealing to criminals who would abuse it for illegitimate purposes, including money laundering and terrorist financing.  


This course emphasizes on the money laundering risks associated with the various types of intermediaries, products, payment methods and clients involved in the securities industry. It illustrates the compliance challenges for trading firms and brokerage institutions, and provides a thorough explanation about the methods to be applied in order not to violate the existing regulations. The course details as well several indicators about money laundering in the securities industry and provides various case studies for insider trading, market manipulation and securities fraud in the industry. 


Date07 and 08 of September 2022
Time09:30 – 16:30 UK Time
Duration12 hours
PriceGBP 945 (excl. VAT)


Training Objectives

By the end of the programme, participants will: 

• Comprehend what is Money Laundering, and its stages, its legal framework, as well as the risks associated to it.

• Get introduced to the Securities Market and differentiate the various products treated as securities.

• Have the ability to explain the various offences in the securities market designated as Money Laundering offences.

• Assimilate the reasons of deficiencies in the stock market governance

• Understand the compliance challenges for trading firms and brokerage companies

• Identify the essential control features to minimize ML /TF in the Securities Markets

• Recognize the suspicious transactions indicators


Training Outline  

Definition of Money laundering (ML) and Terrorist Financing (TF) and the Difference between the two  

• Stages of Money Laundering  

• Legal Framework of Anti-Money Laundering and Combating Terrorism Financing  

• Sanctions Risks and Types  

• Offences and Penalties  

• Industries Involving High Risk of Money Laundering  

• Introduction About Stock Exchanges  

• Products Treated As Securities 

• Intermediaries / Participants Operating in The Securities Markets  

• Offences in the Securities Market Designated as Money Laundering Offences 

Reasons for the Deficiency in the Stock Market Governance 

• Compliance Challenges for Trading Firms and Brokerage Companies  

• Measures Needed for Efficient Anti-Money Laundering Controls (Essential Control Features to minimize ML/TF in the Securities Markets) 

• Suspicious Transactions Indicators   

• Case Studies

• Conclusion and Recommendations  


Industry Expert | Nadine Ghosn Eid


Nadine Ghosn Eid


Nadine Ghosn Eid is the Founder of BeyondComply, a compliance consultancy and training firm established to help financial services companies understand and overcome the challenges arising from compliance, regulation, and market developments. Nadine is a Certified Anti-Money Laundering Specialist (CAMS) based in Beirut who’s been a Speaker in various Global Compliance and Financial Crime Prevention Conferences, and has more than 26 years of Banking Experience with a focus on Compliance, Treasury, Capital Markets and Private Banking, in addition to 17 years of concentration in the Cards and Payments Industry. Nadine serves as a Professional Consultant in Anti-Money Laundering, Governance Risk & Compliance, Regulatory Compliance, Data Protection, and Cards Industry Rules and Regulations. She is also certified as a Trainer by the European Institute of Management and Finance (EIMF), an EU GDPR Foundation and Practitioner by The Knowledge Academy UK, and in Financial Derivatives, Securities, and FSA Regulations by the UK’s Chartered Institute for Securities & Investments (CISI). Nadine currently holds also the position of Director of Compliance & Regulatory Affairs at areeba, a Leading Regional Financial Technology company specialized in the payment cards and electronic services and in offering issuing and acquiring services to banks, other financial institutions, merchants and retailers. Prior to areeba, Nadine worked for 14 years with CSCBank sal, a regional leader in the card and electronic payment processing industry, of which the last three years have been also as Head of Compliance. Nadine holds a Master’s Degree in Money and Banking from The American University of Beirut. She has an extended financial experience in the Middle Eastern, African, American, and European markets. She is fluent in English, French and Arabic, and is no stranger to EU and US legislations, having worked for multiple banks that do business in European and American markets.


Who Should Attend 

The programme is ideal for:  

 • University students or University graduates looking to gain more knowledge

Brokers – Dealers – Traders in the Securities Market

Compliance Officers

Compliance Officers in the Securities Industry / Brokerage Trading Firms

Internal Auditors working in Securities Firms

Risk Managers in Brokerage / Trading Firms

Beginners in the Securities Industry

Professionals that want to enhance their AML / Compliance Knowledge


Employees of Trading / Brokerage Firms

Professionals working in the Securities Industry

Governmental Agencies

Regulators of the Securities Industry

Ticket Information

Money Laundering at the Securities Market
Sales Ended: 07-August-2022 00:00

Additional Details

Price - 945

Duration - 12

CPDs - 12

Ticket Options - paid

Event registration closed.

Date And Time

07-September-2022 - 09:30 to
08-September-2022 - 16:30




£945 + VAT

Event Category

Live Online Courses

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