WORKSHOPS

- Register and complete the payment through the official training website.

- Upon successful registration, an invitation email—including the access link, workshop resources, and Pre- & Post-Assessment links—will be sent one day before the workshop.

This workshop provides a comprehensive, practical framework for preparing institutions

for regulatory inspections and client sampling exercises. Participants learn what

regulators examine before, during, and after an inspection; how client files are selected

and tested; and how to prepare complete, defensible audit files that meet supervisory

standards.

The workshop includes hands-on file reviews, gap identification, documentation enhancement,

and a full mock inspection exercise replicating real supervisory expectations.

The objective is to ensure teams are fully equipped to undergo inspections with

confidence and compliance accuracy.

• Compliance teams

• AML/CFT & KYC departments

• Risk management staff

• Internal audit and quality-assurance teams

• Operations & onboarding units

• Senior management preparing for regulatory reviews

Certificate of participation issued by the UASA & SCA Professional Training & Examinations Centre.

15:00 - 16:20 Session 1

16:20 - 16:30 Break

16:30 - 17:50 Session 2

17:50 - 18:00 Break

18:00 - 19:00 Session 3

What regulators test before, during & after inspection

• Key regulatory expectations across AML, KYC, sanctions, governance, record-

keeping and many more .

• Pre-inspection requests: policies, procedures, customer lists, training logs,

STR registers, risk assessments, org charts, etc.

• On-site review focus: KYC quality, EDD documentation, screening processes,

transaction-monitoring handling,

escalation trails.

• Post-inspection expectations: remediation plans, corrective actions, implementation

timelines, and evidence of senior management oversight.

• Common findings and high-vulnerability areas across institutions.

How client sampling works

• Sampling methodologies used by regulators: risk-based, random, thematic,

targeted.

• Criteria for selecting client files and triggers for high-risk sampling.

• File-testing focus: beneficial-ownership verification, SOF/SOW quality,

risk-rating justification, sanctions, documentation completeness.

• Transaction-testing: unusual patterns, monitoring alerts, case handling, justification

of decisions.

• How regulators assess deficiencies, gaps, or inconsistencies in files.

Preparing audit files

• Building complete and defensible KYC/EDD files that withstand regulator

review.

• Ensuring consistency with internal policies, procedures, and regulatory requirements.

• Structuring evidence packs for quick retrieval during inspection.

• Remediation techniques to correct gaps before the regulator arrives.

• Creating internal QC checklists and documentation standards.

Mock inspection exercise

• Full simulation of a regulatory inspection from initial notice to closing meeting.

• Participants prepare files, respond to regulator-style questioning, and justify

decisions.

• Realistic pressure, time constraints, and documentation challenges.

• Evaluation of team performance with gap analysis and corrective action

plans.

• Final debrief summarizing best practices and future readiness measures.

SCA