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Description

FATCA Compliance: Client Identification, Documentation and Reporting

Securing the identification and reporting chain for accounts held by US persons

  • 1 day — 7 h
  • In-person or virtual
  • Intermediate
  • Up to 6 participants

FATCA relies on a fragile chain. A US indicium missed at onboarding, a self-certification form completed incompletely, or an undetected change in client circumstances is enough to produce an incorrect or missing report. Front-office teams do not always understand why these documents are requested and file them without checking them.

This one-day programme follows the framework in its operational sequence: identifying indicia, collecting and validating supporting documents, handling recalcitrant cases and producing the report. Entities and intermediate structures are addressed separately.

Learning objectives

  • Identify US indicia at onboarding and throughout the life of the account
  • Collect and review self-certifications and supporting forms
  • Classify individual and entity clients according to the applicable categories
  • Handle accounts with incomplete documentation and recalcitrant account holders
  • Organise periodic file reviews and the detection of changes in circumstances
  • Prepare reporting data and check its consistency before submission

What makes this programme different

Participants audit and correct incomplete client files
The treatment of entities and intermediate structures is distinguished from that of individuals
A consistency check of the reporting file is performed on sample data

Programme

1Scope of the Framework and Clients Concerned

Knowing who must be identified and why

  • Rationale of the framework and role of intergovernmental agreements
  • Financial institutions in scope and products covered
  • The concept of US person as applied to individuals
  • US indicia to search for in client data
  • Interaction with automatic exchange of information regimes

2Documentation and Classification

Building a client file that holds up

  • Self-certification and the supporting forms expected
  • Consistency checks between declarations and data held
  • Entity classification and the notion of controlling person
  • Treatment of intermediate structures and joint accounts
  • Course of action when a client does not respond

3Reporting, Control and Governance

Producing a reliable and traceable report

  • Data to be reported and scope of the accounts concerned
  • Production timetable and submission channel
  • Consistency checks and handling of returned anomalies
  • Periodic file reviews and detection of changes in circumstances
  • Traceability of due diligence and preparing for an internal or external review

Who is it for

Compliance and internal control staff, as well as relationship managers, branch managers and back-office officers in banking and insurance.

Prerequisites

Familiarity with onboarding and know-your-customer procedures.

Dates & locations

36 scheduled dates between November 2026 and December 2027. Seats are confirmed in the order enquiries are received.

November 2026

December 2026

January 2027

February 2027

March 2027

April 2027

May 2027

June 2027

September 2027

October 2027

November 2027

December 2027

None of these dates suit you? We open additional sessions on request, and any programme can be run privately for your team.

Practical details

Before the programme
Online positioning questionnaire. Your development objectives are shared with the trainer, who tailors the practical case studies to your context.
Teaching methods
Theoretical input, workshops and practical case studies. Digital course materials and method sheets provided.
Assessment
Multiple-choice tests and role-play exercises. Assessment of learning at the start and end of the programme, with immediate and 60-day follow-up evaluations.
After the programme
One year of access to the e-learning platform. Self-assessment of the skills acquired and a 30-day follow-up session with your trainer.
How to register
Registration online or on the basis of a quotation.
Lead time
11 working days after confirmation of registration.
Accessibility
Accessible to people of determination. Contact our accessibility coordinator to design a suitable solution: contact@mpf-academy.ae
Start dates
Rolling intake: in addition to the scheduled sessions, this programme can start on request.