Global Compliance Study Guide

Foundations of International Trade Compliance

Core regulatory frameworks, key agencies (BIS, OFAC, DDTC), and compliance program fundamentals under 15/31/22 CFR.

OFAC Sanctions Programs and Administration

Comprehensive sanctions regimes, SDN lists, country programs, general licenses, and OFAC penalty guidelines enforcement framework.

Export Administration Regulations (EAR) Framework

Commerce Control List classification, license exceptions, deemed exports, and end-use/end-user restrictions under 15 CFR.

ITAR and Defense Trade Controls

USML classification, State Department licensing, technical data controls, and defense services under 22 CFR 120-130.

Denied Party Screening and Restricted Entity Lists

Consolidated screening requirements, Entity List, Unverified List, debarred parties, and interdiction compliance protocols.

Foreign Corrupt Practices Act (FCPA) Compliance

Anti-bribery provisions, accounting requirements, third-party due diligence, and DOJ/SEC enforcement trends and penalties.

Customs Compliance and Import Regulations

CBP requirements, tariff classification, valuation, country of origin, drawback programs, and C-TPAT certification.

Anti-Money Laundering in International Trade

Trade-based money laundering red flags, Bank Secrecy Act intersection, and financial institution compliance obligations.

International Regulatory Frameworks and Harmonization

EU dual-use regulations, UK sanctions, Wassenaar Arrangement, and multilateral export control regime coordination.

Compliance Program Design and Implementation

Eight pillars of effective compliance, risk-based approaches, internal controls, training programs, and management commitment.

Risk Assessment and Due Diligence Methodologies

Transaction screening protocols, red flag identification, know-your-customer procedures, and supply chain risk management.

Enforcement Actions, Voluntary Disclosures, and Remediation

Penalty mitigation strategies, VSD processes, recent enforcement cases, audit responses, and compliance remediation planning.