Compliance Pro

Dealing with Difficult AML Cases

This practical session equips agents with the knowledge and confidence to navigate difficult AML situations while meeting regulatory requirements.

Key Learning Areas:

- How to handle Complex Entities
- ⁠Power of Attorney (POA)
- ⁠Executors & Administrators – Understanding their legal authority and the documents required to act on behalf of an estate.
- ⁠PEPs & POIs – Identifying higher-risk individuals, applying Enhanced Customer Due Diligence (ECDD), and knowing when to escalate.
- ⁠Non-Cooperative Clients – Handling clients who refuse to provide information, managing difficult conversations, and determining when to decline to act.

Through real-life case studies and practical guidance, participants will strengthen their risk assessment skills, improve compliance practices, and learn how to protect themselves and their clients from potential AML breaches and regulatory risks.