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Ensuring FATCA Compliance within Operations and Required Timelines

FATCA significantly increases the need for banks and financial institutions worldwide to capture, analyze and submit detailed data of customers subject to US withholding tax and tax liabilities to the US Internal Revenue Service. Companies that are not able to set up effective compliance face huge operational risks with penalties and fines into the millions. To comply with FATCA regulations, financial institutions will need to employ enhanced due diligence procedures to identify and report US Persons who are using non-US Financial accounts or Non-US entities to evade US taxes. Financial institutions will need to develop additional capabilities and modify existing operational processes as penalties for non-compliance

Turning 'Theory' into 'Practice'?

Compliance in the various stages of FATCA In addition to providing you with a good grounding in the theories that underpin this discipline, this course will also provide case study examples of operations compliance and timelines in practice. You will also be given the opportunity to work through many of the challenges faced by your own organization in developing and implementing an effective FATCA Strategy for a compliant operations and reporting.

Who should attend?

marcus evans invites Heads, VPs, Directors, In-House Counsel, and Senior-level managers within the Finance Industry with responsibilities in: FACTA Compliance Tax Compliance Legal Related Operations - Accounts Payable - Controllers - Technology - Client On boarding operations- IT, documentation, operations

Key areas to be covered in the programme and documentation

Implementing a FACTA Compliant Program within your Organization

·         Creating and implementing a FACTA Compliance program and timeline/roadmap

·         Creating a culture of risk awareness and adverting silos

·         Understand approaches set by IGAs

  • Leveraging existing KYC/ client on boarding & due diligence processes and systems
  • Understanding your organization’s goals and strategy implications with FATCA


Reviewing FACTA Fundamentals, Compliance and Requirements

·         Creating and implementing a FACTA Compliance program and timeline/roadmap

·         FATCA Reporting and operations of information

·         Foreign Sourced income

·         Creating a culture of risk awareness/silos

·         How technology and operations fits into being FATCA compliant


Examine FACTA Documentation and Ongoing Business Requirements

·         Understanding the requirement in your US Clients and related noncompliant risks

·         Identify and classify customers in the different categories to requirements and rules related

·         Relevant documentation to obtain and define relevant income for specific customers

·         Reporting obligations

·         Withholding on non-financial foreign entities


Payment Withholding

·         Agreements with IRS and due diligence, reporting and withholding obligations

·         Integrating withholding systems

·         Payment and withholding schedules



Understanding and Addressing Key FACTA Compliance Issues and Main Risks Involved

·         Operational Issues

·         Compliance Issues

·         Legal Issues


FATCA Project Governance Structure and the Establishment of a Project Management Office

·         Review FATCA and compliance required for your organization

·         Enable enterprise-level effort to allocate budget, people and project ownership

·         Determine ownership to projects and timelines


Monitoring, Review, and Continuous Improvement

·         Responsibility for maintaining and improving FATCA Compliance in the early stages

·         Approach to risk maturity and continuous improvement of FATCA Compliance & Reporting 

Benefits to you

• Improve effectiveness of implementing client on-boarding/KYC and operational changes to be FATCA compliant- define new structures, roles and processes required to ensure cost effective and complete compliance • Understand what it takes to be FATCA Compliance along with your organization’s goals to FATCA • Examine client due-diligence to discover clients relevant to FATCA • Conduct an analysis of your current operations for FATCA Implementation • Review implementation status and timeline that mirrors the IRS reporting requirements • Align FATCA to AML program efficiencies for greater compliance roll out • Success factors of an effective FATCA team

Companies already benefiting include:

Duration of Course

2 Days Day Course

Course details

June 26-27, 2013

Looking to train larger teams in this subject?


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Further information

UK Enquiries: +44 (0) 203 002 3057

Non-UK Enquiries: +420 (0)2 5570 7246

North American Enquiries: +1 312 540 3000 X6714 or


"This course will allow my company to develop its existing strategies to a much greater and hopefully profitable level."

Managing Director, Tarmac