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Finance, AML & Compliance

The Client Due Diligence Process

Course details

CPD Points





Half day (09:00-12:30)

Course Overview

This workshop addresses the regulatory requirements for undertaking due diligence on clients at all levels. You will learn about the information and documentation required and how to risk rate clients using a risk based approach in accordance with the Guernsey regulatory requirements.

Course Content

  • AML/CFT – what is it and what is its importance
  • The regulatory requirements and a risk based approach
  • How to evidence due diligence undertaken
  • Politically exposed persons and high risk categories
  • The requirements for simplified and enhanced due diligence
  • The role of the MLRO
  • Barriers and how to overcome them

Course Benefits

This course is designed for those wishing to learn about the requirements of Client Due Diligence and how to implement a process.

After attending the course you will:

  • Understand the regulatory requirements relating to AML/CFT
  • Be aware of the importance of reviewing and evidencing due diligence
  • Have gained a greater understanding of a "risk-based approach"
  • Be able to implement a process to undertake client due diligence

Next Steps

If you would like to book a place on this course please click on the ‘Book Course’ button to the right of this page and login or register for a user account to complete your booking(s). Any queries please do not hesitate to contact us via [email protected] or call us on 01481 721555.

If no date is scheduled for this course at the present time please click on the ‘Register Interest’ button and login or register for a user account so that we can add you to our course interest register. This register allows us to contact our tutors and finalise dates for a course as soon as we have a few people who have expressed their interest, so the more delegates who register their interest, the sooner we can schedule a particular course.

Course Tutor

  • Lindsay Fox

    Lindsay Fox is the founder of Platinum Compliance (Guernsey) Limited.
    With over 33 years in the Guernsey financial services industry, Lindsay has experienced a variety of roles throughout her career, including Asset Management, Fund Administration, New Business, Global Custody, Credit Risk, Banking and Training, as well as involvement in GFSC visits, resulting in a thorough understanding of industry needs from a regulatory perspective.

    Lindsay holds the Institute of Directors (IOD) Diploma in Company Direction, the International Compliance Association (ICA) Diploma in Compliance (Distinction),The Chartered Governance Institute (previously ICSA) Certificate in Offshore Finance and Administration and the Chartered Institute of Securities and Investments (CISI) Investment Administration Qualification (IAQ).

Upcoming Courses

Some courses we run are scheduled based on demand. Please ensure you register your interest to ensure we know which courses you would like to attend.