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How to Audit an Effective AML Governance Committee Structure and AML Issue Escalation Protocol

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Jacob Johnston CAMS-Audit

Before understanding how to audit an effective and transparent AML issue escalation process between the AML compliance group from the U.S. Head Office, regions and LOBs, it is important to have a clear understanding of what a strong outlined and transparent global AML governance committee structure of a large financial institution with multiple LOBs and multiple jurisdictions/regions (in addition to the U.S.) could look like. Audit needs to validate that adequate AML oversight is captured from not just the compliance group of the U.S. Head Office, but also from each of the banks’ regions and LOBs, which also should have AML-designated individuals in a senior management role.

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Validating and Quantifying the Qualitative Elements of Customer AML Risk in the Insurance Space

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Louis A. Parris, CAMS-Audit, Dip(Compliance) FICA; Certified Professional

Regulation in the insurance space has tended to lag behind the more aggressive regulation of banking and other financial institutions. As a result, risk modeling for the insurance industry has not been as comprehensively developed. Examination of existing rating models indicates that there are generic models, which insurance companies adapt to their own use. Moreover, the qualitative aspects have largely been used in preference to a more demanding application of the quantitative method. Even where regulators suggest models, these have tended to be driven primarily by qualitative inputs.

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Anti-Money Laundering Training… One Size Does Not Fit All

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Norma I Lopez, CAMS-Audit

The purpose of this research paper is to analyze and discuss what an effective AML training program looks like and introduce, for the readers consideration, audit’s approach and expectations for an AML training program. Please note it is this author’s independent goal to illustrate audit’s key contributions in a FI’s design, delivery and management of BSA/AML training, which is the foundation of an effective system of controls to combat heightened AML risk.

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Detailing Best AML Practices for Preventing Elder Financial Exploitation

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  • When: March 28, 2018
  • Time: 12:00 PM – 2:00 PM ET
  • Levels: All

Each year, older adults and vulnerable people of all ages lose more than $3 billion to exploitation, with financial institutions losing $1 billion in deposit fraud. Adults over 50 years old control more than 70 percent of the United States’ wealth, which is why this group remains a popular target for criminals using new tactics to abuse and financially exploit retiring baby boomers and the growing number of older and vulnerable adults. Join our panelists as they review typologies, warning signs and reporting barriers; analyze recent case studies and detail legal remedies to address exploitation.

Learning Objectives

  • Reviewing current policies, procedures and training to ensure they identify and report transactions tied to crimes against older and vulnerable adults
  • Analyzing typologies and red flags including transactions that are inconsistent for older adults or uncharacteristic attempts to wire large sums of money
  • Ensuring proper handling of client finances through effective due diligence, monitoring, early detection and reporting on designated fiduciaries
  • Establishing relationships with law enforcement to investigate alerts and gain insights into financial exploitation trends

Who Should Attend

  • Relationship Managers
  • Onboarding Officers
  • Internal Investigations Personnel

Region/Industry

  • Global
  • North America
  • Bank
  • Securities

Pricing

ACAMS Members Non-Members
$195 $295
Register Now Join ACAMS

Moderator

Michael Schidlow
  • Michael S. Schidlow, CAMS-Audit

  • SVP; Head of FCC and Emerging Risk Audit Development
  • HSBC Bank, USA

Speakers

  • Karen Cornell, CAMS

  • VP Senior Audit Consultant
  • Bank of New Hampshire

Maria Dodson
  • Maria Dodson, CAMS-FCI

  • Vice President, BSA/Fraud Department Manager
  • F&M BANK

Utilizing Data and Analytics Technology to Detect Signs of Human Trafficking

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  • When: May 30, 2018
  • Time: 12:00 PM – 2:00 PM ET
  • Level: Intermediate, Advanced

Human traffickers generate hundreds of billions of dollars in profits worldwide by using violence, threats, deception, debt bondage, and other forms of coercion to force victims to engage in commercial sex or provide labor or services against their will. Compliance professionals are utilizing fraud detection technology that includes human trafficking alerts to combat this crime and identify new typologies. Our panel of professionals will discuss practical strategies for generating data and utilizing analytics to detect human trafficking.

Learning Objectives

  • Detailing common human trafficking indicators revealed by AML monitoring to ensure data and analytics technology addresses most relevant institutional risks
  • Uncovering trafficking activity using new detection tools including graphical maps and cross-institutional collaboration tools
  • Outlining technology-enabled investigation and data collection practices to effectively support human trafficking-related suspicious activity report (SAR) filings

Who Should Attend

  • Law Enforcement
  • FIU/FCC Team Members
  • Compliance Officers
  • All Lines of Business
  • Information Technology

Region/Industry

  • Global
  • North America
  • Bank
  • Law Enforcement

Pricing

ACAMS Members Non-Members
$195 $295
Register Now Join ACAMS

Moderator

John J. Byrne
  • John J. Byrne, Esq., CAMS

  • President
  • Condor Consulting LLC

Bio

John is Executive Vice President of the Association of Certified Anti-Money Laundering Specialists (ACAMS), a global organization with over 46,000 members. Byrne is an internationally known regulatory and legislative attorney and one of the leading AML community voices for over 30 years.  He has experience in a vast array of financial service related issues, with particular expertise in regulatory oversight, policy and governance, anti-money laundering (AML), privacy and terrorist financing. He has written over 100 articles and blogs on AML, financial crime and privacy; represented the financial sector in this area before the United States Congress, state legislatures and international bodies such as the Financial Action Task Force (FATF); and appeared on CNN, Good Morning America, the Today Show, and many other media outlets.

John has received a number of awards, including the Director’s Medal for Exceptional Service from the US Treasury Department’s Financial Crimes Enforcement Network (FinCEN) and the American Bankers Association’s (ABA) Distinguished Service Award for his career work in the compliance field. His podcast, “AML Now” (on ITunes) received a 2017 Communicator Award for hosting from the Academy of Interactive and Visual Arts. John’s blog on AML and Fraud (found at http://www.bankingexchange.com/) received a Gold Hermes Award in 2016. He is also on Twitter @jbacams2011.

CTF and TBML: Identifying Questionable Transactions within Global Trade Businesses

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  • When: May 16, 2018
  • Time: 12:00 PM – 2:00 PM ET
  • Level: All

One of the largest and most pervasive methods for laundering the proceeds of crime is trade-based money laundering (TBML). As a result, understanding and disrupting the flow of funds for terrorist organizations through trade-based money laundering has become fundamental for global financial institutions. This webinar will provide lessons-learned from recent case studies and practical strategies to help financial institutions stop money launderers and terrorist financers from using global trade to move illicit funds into the legitimate economy.

Learning Objectives

  • Reviewing emerging terrorist financing and TBML trends to identify monitoring challenges and ensure adequate resourcing to meet them
  • Training staff to recognize transactional TBML red flags for terrorist financing such as under- and over-invoicing and accommodation trading
  • Deploying advanced analytical and statistical techniques to elevate CTF and TBML comprehensiveness and efficiency

Who Should Attend

  • Compliance Officers
  • Risk Managers
  • Industry Consultants
  • AML and Transaction Monitoring Professionals
  • Law Enforcement
  • AML/CTF IT Specialists
  • FIU/FCC Personnel

Region/Sector

  • Global
  • North America
  • Bank
  • MSB

Pricing

ACAMS Members Non-Members
$195 $295
Register Now Join ACAMS

Speakers

Ross Delston
  • Ross Delston

  • Senior Advisor – AML
  • Allsec Technologies

Michael N Emmerman
  • Michael N Emmerman

  • Intelligence Analyst
  • New York Organized Crime Drug Enforcement Strike Force
  • DEA New York Field Division

Money Laundering and Terrorist Financing Risks in the Online Gaming Sector

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  • When: May 9, 2018
  • Time: 12:00 PM – 2:00 PM ET
  • Level: Intermediate, Advanced

Online gaming, including social gaming, mobile gaming, free-to-play and pay-to-play multiplayer gaming is expected to generate $1 trillion in total revenue by 2021. Vulnerable to some types of criminal exploitation arising from cross border activity, the use of alternative payment systems and ease of access to gaming sites, the online gaming segment and the risks it can pose continues to evolve in both size and complexity. Our panel of experts will provide up-to-date information on online gaming market trends, industry standards and regulations, and best practices to combat fraudulent players and activity.

Learning Objectives

  • Analyzing how online gaming is used by criminals to mask and launder money including gold farming, glitching and duping
  • Examining recent case studies to determine applicable lessons for mitigating online gaming-based financial crime risks
  • Tracing common typologies and detailing best practices to spot, combat and report suspicious online gaming activities
  • Reviewing AML best practices for online gaming according to the American Gaming Association’s Code of Conduct for Responsible Gaming

Who Should Attend

  • Gaming Industry Compliance Officers
  • Bankers with Gaming Industry Clients
  • Legal/Audit Advisors to Gaming Organizations

Region/Sector

  • Global
  • North America
  • Gaming/Casino
  • Banking
  • Legal

Pricing

ACAMS Members Non-Members
$195 $295
Register Now Join ACAMS

Moderator

Angel Swift
  • Angel Swift, CAMS

  • Vice President – Compliance and Financial Crimes Solutions
  • Enigma

MENA Regulatory Update: FATF Mutual Evaluations, Ongoing Compliance Expectations and New Requirements

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  • When: April 30, 2018
  • Time: 7PM – 8PM GST
  • Level: All

Keeping up with regulatory changes as well as the ever-growing sophistication of money launderers and funders of terrorism is critical for financial institutions everywhere, no less in the Middle East and North Africa region. This webinar previews changes arising out of recent developments in the region with an emphasis on presenting concrete strategies for retooling existing compliance infrastructure and beefing up current compliance functions that are required to meet evolving regulatory expectations.

Learning Objectives

  • Identifying MENA regulatory initiatives, directives and trends to proactively develop and implement strategies for compliance and mitigating financial crime
  • Examining how precious metals and stones from West Africa, especially diamonds, are used to launder the proceeds of crime
  • Reviewing FATF’s Mutual Evaluations findings and recommendations to identify your financial institution’s risks and how they can be addressed while meeting the needs of business lines

Who Should Attend

  • Risk Assessment Managers
  • Law Enforcement
  • Compliance Officers
  • FCC Professionals

Region/Industry

  • Middle East / Africa
  • Global
  • Bank/Financial Sector
  • MSB

Moderator

Imad Habre
  • Imad Habre, CAMS-Audit

  • Head of Internal Control Unit
  • IBL Bank S.A.L.

Speakers

Liat Shetret
  • Liat Shetret, CAMS

  • Senior Adviser on Financial Integrity and MENA Programs
  • Global Center on Cooperative Security

FinCEN Geographic Targeting Orders (GTOs) Connected to Real Estate Purchases

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  • When: April 25, 2018
  • Time: 12:00 PM – 2:00 PM ET
  • Level: Intermediate, Advanced

With nearly 78 percent of real estate transactions in the United States required to comply with the Bank Secrecy Act’s (BSA) requirements, professionals dealing with real estate transactions must keep current with money laundering risks associated with certain real estate transactions. Title insurers, mortgage bankers and brokers, attorneys, escrow agents, and compliance officers can address these risks by identifying, addressing and reporting suspicious transactions. During this insightful webinar, our panelists will detail practical strategies to combat the exploitation of property markets to transfer and store illicit proceeds.

Learning Objectives

  • Understanding new regulatory standards and compliance requirements for real estate professionals, including Geographic Targeting Orders (GTOs)
  • Reviewing lessons-learned from actual high-profile cases illustrating money laundering risks in the real estate sector
  • Examining increasing model management expectations to adapt current AML models to unique systemic risks

Who Should Attend

  • Compliance Personnel
  • Industry Consultants
  • Risk Managers
  • Business Advisors
  • Real Estate Professionals
  • Legal Departments

Region/Industry

  • Global
  • North America
  • Banking
  • Real Estate providers
  • Legal
  • Auditing
  • Regulatory Agencies

Pricing

ACAMS Members Non-Members
$195 $295
Register Now Join ACAMS

Speaker

Jason Chorlins
  • Jason Chorlins, CPA, CFE, CAMS

  • Principal | Risk Advisory Services
  • Kaufman Rossin

Coordinating Internal Cross-Cooperation Efforts among BSA/AML Units, Cyber Security and Information Technology

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  • When: April 4, 2018
  • Time: 12:00 PM – 2:00 PM ET
  • Level: Intermediate, Advanced

Cybercrime has become a major concern for financial institutions worldwide. The growing number of cyber-attacks requires collaboration among BSA/AML, fraud and information technology (IT) professionals to identify, report and mitigate cyber-enabled crime. Our panelists will discuss policies and procedures that will facilitate enterprise wide efforts, as well as practical strategies for recovering from and even preventing cyber hacks.

Learning Objectives

  • Incorporating practical strategies to foster collaboration among BSA/AML, cybersecurity and IT professionals
  • Reviewing case studies and models that enhanced collaboration and sharing of information enterprise wide
  • Analyzing recent regulatory and law enforcement initiatives requiring financial institutions to increase collaboration efforts

Who Should Attend

  • Compliance Officers
  • Information Technology
  • Cyber-related Personnel
  • Risk Managers
  • Industry Consultants

Region/Sector

  • Global
  • North America
  • Bank

Pricing

ACAMS Members Non-Members
$195 $295
Register Now Join ACAMS

Moderator

Greg A. Ruppert
  • Greg A. Ruppert, CAMS

  • Senior Vice President | Financial Crimes Investigations
  • Charles Schwab

Create a Strong Institutional Culture of Compliance (in Mandarin) 建立有效的合规文化 (以普通话进行)

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  • When:
    15 December 2017
    日期:
    2017年12月15日
  • Time:
    10:00am – 11:00am (HKT)
    时间:
    10:00am – 11:00am (香港时间)
  • Level:
    All
    程度:
    适合所有人

As AML experts have long observed, compliance at any financial organization is everyone’s responsibility. An effective method of reaching that achievement is creating a strong institutional culture of compliance – with support of everyone from senior management to front-line workers. In this webinar, experts detail the fundamental building blocks of a culture of compliance, and provide practical strategies for creating, implementing and maintaining that culture.

如同反洗钱专家长期以来所观察到的,任何金融机构的法规遵循是每个人的责任,而实现这一成就的有效方法,就是建立一个由高阶主管至前线员工均全面支持并强而有力的合规制度文化。在本次的网络研讨会中,专家将藉实际经验来介绍合规文化的基本组成部分,并为创建、实施和维护这种文化提供切实可行的策略。

Learning objectives include 学习目标:

  • Gaining senior management backing to establish a culture of compliance as an institutional priority
    将取得高级管理层支持并建立合规文化作为机构的优先处理事项
  • Integrating compliance culture concepts into risk assessment models to measure whether operational changes are needed
    将合规文化概念纳入风险评估模型, 以衡量是否需要进行操作更改
  • Incentivizing ethical behavior by measuring it in performance reviews
    由上而下在绩效评价中鼓励道德行为

Please complete the form in English.
注:以下表格请以英文填写


Moderator 主持人

Joyce-Hsu
  • Joyce Hsu, CAMS-FCI | 许胧方 (CAMS-FCI)

  • AML Director – North Asia | 反洗钱合规策略总监
  • ACAMS | 公认反洗钱师协会

Bio | 简介

Ms. Hsu has over 20 years’ experience in the banking industry and joined ACAMS as a subject-matter expert in 2017, with the primary responsibility of developing and executing a strategy in AML/CFT training and knowledge-sharing with a focus in the Mandarin Chinese language. Previously, she was in charge of security and investigation service for Citi Taiwan. Her previous experience includes 5 years being responsible for providing Financial Crime and Operational Risk Management solutions for a leading Consulting firm with a particular expertise in AML and Operational Risk Management. Her expertise is focused on financial crime management and investigation. Various roles included progressing from being a front line operator, sales to senior manager of a headquartered-operation center with further progression into a risk manager role. Some accomplishments included: building up Anti-Money Laundering, Anti-Fraud Management for tier one banks in China; designing and implementing ORM tools and systems for an entire bank; and leading a team to develop the banking operation management capability for one of the largest banks in China.

许小姐拥有逾20年银行从业经验。她于2017年加入公认反洗钱师协会 (ACAMS),为协会的反洗钱合规策略总监,主要负责反洗钱和反恐融资活动相关议题的培训及知识共享策略的制定和执行,尤其是对以华语为主要语言的大中华区。此前,她曾任职于花旗银行(台湾),主管安全和调查服务部门。许小姐在防范金融犯罪和风险管理领域拥有尤为丰富的从业经验,曾连续5年负责为一家全球领先的顾问公司提供金融犯罪和风险管理解决方案。她擅长金融犯罪管理和调查。许小姐在银行任职期间曾担任多种职位,从基层客服、销售,到总部运营中心和风险管理。她的成就包括:辅导中国多家第一级银行建立反洗钱和反欺诈管理机制、为中国四大行之一设计反洗钱及合规体系,为四大行之一设计规划全面风险管理体系,以及带领团队为一家中国超大型银行打造银行集中运营管理机制及流程。


Speaker(s) 讲师

LI Xiaojie
  • LI Xiaojie, CAMS-Audit | 李小杰 (CAMS-Audit)

  • Director of AML Center | 反洗钱中心总监
  • Ant Financial Services Group | 蚂蚁金融服务集团

Bio | 简介

Ms. LI Xiaojie is the Director of Anti-money laundering Center of Ant Financial Services Group (“Ant Financial”). Ant Financial runs Alipay, Ant Fortune, Ant Financial Cloud and other financial services. Ant Financial’s invested companies and affiliates also work with these businesses units and support Ant Financial’s ecosystem. The services provided by Ant Financial and its affiliates cover payment, wealth management, credit reporting, private bank and cloud computing.

Ms. Li has more than 13 years’ experience in anti-money laundry risk management that relate to banking, financing and electronic payment. Previously, she was a Manager with Export Credit Division, Head of Anti-Money Laundry Division of ICBC Head Office. Ms. Li is appointed as a visiting professor at the People’s Bank of China, Zhengzhou Training Institute and the researcher of China Centre for Anti-Money Laundering Studies FuDan University.

Ms. Li was graduated with bachelor of engineering degrees from Wuhan University of Technology, Master degree of professional accounting and Master degree of finance in the UNSW Australia. In addition, she got CDCS (Certified Documentary Credit Specialist) and CPA Australia.

李小杰女士供职于蚂蚁金融服务集团反洗钱中心。蚂蚁金服团旗下及相关业务包括生活服务平台支付宝、智慧理财平台蚂蚁聚宝、云计算服务平台蚂蚁金融云、独立第三方信用评价体系芝麻信用以及网商银行等。另外,蚂蚁金服也与投资控股的公司及关联公司一起,在业务和服务层面通力合作,深度整合共推商业生态系统的繁荣。

李小杰女士具备超过13年的丰富的银行、支付等金融从业经验和反洗钱管理及工作经验,曾任中国工商银行总行营业部外汇资金运营及出口信贷业务处、总行内控合规部反洗钱处处长,负责中国工商银行全行反洗钱管理工作。目前为

李小杰女士在武汉理工大学获得工学学士学位,并于澳大利亚新南威尔士大学获得商学硕士学位(国际会计专业、金融专业)。曾获跟单信用证专家(CDCS) 、澳大利亚注册会计师(CPA Australia) 资格。


Anna Tsai
  • Anna Tsai, CAMS | 蔡佳玲 (CAMS)

  • Former Head of Legal and Compliance | 前法律及合规部主管
  • CTBC Bank | 中国信托商业银行

Bio | 简介

Ms. Tsai is a lawyer dually qualified in Hong Kong and Taiwan. She has been working with financial institutions in Hong Kong and Taiwan for the past decade. She was the Head of Legal and Compliance Department of CTBC Bank Hong Kong Branch before starting her own freelance consultancy service in October 2016. Prior to joining the financial industry, she was a public prosecutor in Taipei, Taiwan, and prosecuted several high-profile financial crime cases.

Ms. Tsai obtained LL.B. from National Taiwan University and LL.M. from Georgetown University Law Center in Washington, D.C., where she specialized in Financial and Securities Regulations.


Jesse Huang
  • Jesse Huang | 黄介仕

  • Consultant | 顾问
  • TransGlobe | 全球人寿

360 Degree Review: Europe’s 2017 Activities and Forecasts for 2018

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  • When: Friday 19 January 2018
  • Time: 1:00 PM – 2:00 PM BST
  • Level: All

ACAMS chapter members from across Europe will discuss AML regulatory developments in their jurisdictions during 2017 and what can be expected in 2018.

Learning Objectives

  • Obtaining a consolidated understanding of the overall European landscape of 2017 related to AML initiatives
  • Providing a Europe-wide perspective of anticipated changes to national AML regulations and requirements in compliance with the 5AMLD in 2018 and beyond
  • Establishing strategies to deal with incorporate legislative and regulatory changes into financial institutions’ anti-financial crime compliance programs

Who Should Attend

  • Compliance Officers
  • Legal Advisors
  • Law Enforcement
  • Industry consultants
  • Regulatory Representatives

Region/Industry

  • Europe
  • Banks
  • MSB/ FinTechs
  • Securities
  • Insurance
  • Trust and Corporate Service Providers

Moderator

Kieran Beer
  • Kieran Beer

  • Chief Analyst
  • ACAMS & Editor-in-Chief at MoneyLaundering.com

Bio

Mr. Beer has been the editor-in-chief and editorial director for ACAMS moneylaundering.com since January 2007.

Prior to that, he was executive editor of Bloomberg Wealth Manager, a trade magazine for financial advisers to wealthy individuals, and he served as a staff writer for Bloomberg Markets Magazine. Mr. Beer has been a financial journalist for more than 20 years, beginning his career at Institutional Investor, where he worked as a reporter and editor in the newsletter division and was a contributor to Institutional Investor magazine. He served as editor-in-chief of The Bond Buyer, founding editor of Thomson Municipal News/The Bond Buyer Wire and as the editor of the American Banker.

Mr. Beer writes a column and periodically reports on money laundering and bank compliance. He has served as a panelist and moderator at industry conferences, appeared on CNN, CNBC, WCBS, and spoken on NPR and Bloomberg radio (WBBR).

Speakers

Anna Bradshaw
  • Anna Bradshaw

  • Partner
  • Peters & Peters

Gregory Dellas

Bio

Gregory currently leads the Wealth & Markets Division of the Bank of Cyprus. In the past, Gregory worked with Coopers and Lybrand in Nicosia and held various managerial positions in Cyprus Popular Bank and Bank of Cyprus. He has extensive experience in Wealth Management, in the areas of client advisory and portfolio management, custody and operations. He led the setting up of boutique Private Banking units in the UK and Romania and also served as the Money Laundering Compliance Officer (Group MLCO), responsible for the AML function for Cyprus Popular Bank in Cyprus and all its overseas subsidiaries. Before his current position he served as the Manager Compliance Risk Management for the International Banking, Wealth & Markets Division of the Bank of Cyprus and was responsible for high risk client on-boarding and for providing guidance and training to the management and staff, on AML and regulatory Compliance matters. He holds a BSc in Industrial Economics from the University of Warwick and an MBA from Lancaster University, in the UK, he is a Certified Anti Money Laundering Specialist (CAMS), a certified CAMS instructor, a fellow of ICA and a professional member AMLP in the UK and Transparency International (CY). Gregory also participated as a delegate and a speaker in international conferences and webinars and currently also serves as Chair of the ACAMS Cyprus Chapter.

Register Below

Politically Exposed Persons (PEPs) – Exposing the Facts

$
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Sponsored by

Equifax
  • When: January 18, 2017
  • Time: 12:00 – 1:00 PM ET
  • Level: All

According to Anti-Money Laundering (AML) and Anti-Corruption regulations, financial institutions must take reasonable measures to determine whether an individual is a Politically Exposed Person (PEP). By placing PEPs into a higher risk model for Enhanced Due Diligence, organizations can protect themselves from being used by money launderers and other harmful activities. At the same time, not all PEPs present the same level of risk. This will vary depending on numerous factors (including the PEP’s country of jurisdiction, industry or sector).

Learning Objectives

  • How regulations are changing – both domestic and foreign
  • Factors contributing to PEP risk – which PEPs may be riskier than others
  • Best practices for optimizing screening and monitoring – including cost-savings and efficiencies

Who Should Attend

  • Compliance Personnel
  • Risk Assessment Managers
  • Industry Consultants

Region/Industry

  • Global
  • MSBs
  • Bank

Speaker

Julius Sasvari
  • Julius Sasvari, CAMS

  • Product Management Leader, Compliance Solutions
  • Equifax Inc.

ACAMS Enterprise Members

If you are part of your company’s ACAMS Enterprise membership or if you have a paid webinar subscription, please login here to access the entire library including free and paid webinars.

Register Below

4th Annual ACAMS Mumbai Symposium on “Enhanced AML and Financial Crime Tools & Techniques”

$
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  • When: 26 February 2018
  • Where: Mumbai, India
  • Venue: Hyatt Regency
    Sahar Airport Road, Ashok Nagar, Andheri East, Mumbai, Maharashtra 400099, India

This targeted one-day symposium provides a forum for in-depth discussions covering key areas of AML compliance and financial crime prevention. Our speaker faculty will share their expertise in a wide range of topics, including regional regulatory updates, FinTech & Cybercrime AML compliance challenges, and an interactive workshop on beneficial ownership determination.

In addition, a CAMS Examination Preparation Seminar will be available on 25 February at the same venue. The seminar will be complimentary to the Mumbai Symposium attendees who have purchased the CAMS Certification Package.

Attendees will receive 6 Continuing Educational CAMS Credits by attending the symposium. Joining the CAMS Preparation Seminar will get extra 6 Continuing Educational CAMS Credits.

Please contact asia@acams.org for more detail.

Agenda-at-a-glance

Time Session
08:00 – 09:00 Registration and Morning Tea
09:00 – 09:15 Welcome Remarks
Hue Dang, CAMS-Audit, Head of Asia, ACAMS
09:15 – 10:30 Regulatory Update: Analyzing Regional AML Trends and New Developments

Speaker:
William Scott Grob, CAMS, AML Director – APAC, ACAMS
10:30 – 11:40 Deploying Robotics, Machine Learning, Data Analytics, Automation and Artificial Intelligence in AML Programs
11:40 – 12:00 Networking and Refreshment Break
12:00 – 13:00 Cybercrime: How It Happens, and How to Fight It
13:00 – 14:00 Networking Luncheon
14:00 – 15:00 Applying the Latest Intelligence to Combat Trade-Based Money Laundering (TBML)
15:00 – 15:20 Networking and Refreshment Break
15:20 – 16:50 INTERACTIVE WORKSHOP:
Strengthening Beneficial Ownership Determination Throughout Your Enterprise


Moderator:
Hue Dang, CAMS-Audit, Head of Asia, ACAMS
Speakers:
David Cope, Managing Director and Head of Financial Crime Compliance, Goldman Sachs Asia LLC
16:50 – 17:00 Closing Remarks
Hue Dang, CAMS-Audit, Head of Asia, ACAMS

Pricing

ACAMS Member Non-Member
USD 325 USD 425
Register Now Join ACAMS

Download Agenda


Speaker Faculty

  • David J. A. Cope

  • Managing Director & Head of Financial Crime Compliance
  • Goldman Sachs LLC

Bio

Mr. Cope has over 25 years of experience in the financial crime and anti-money laundering space. Prior to joining Goldman Sachs, he was the Asia Pacific Head for Global Financial Crimes Compliance at Bank of America Merrill Lynch, previous to his time at Bank of America, he was the Regional AML/CTF Compliance Manager for Morgan Stanley Asia. Mr. Cope was also briefly a Partner at KPMG based in Hong Kong in the forensic practice dealing with AML/CTF and sanctions issues.

In his Compliance roles Mr. Cope led multinational teams dealing with all aspects of financial crime risk management, including client on boarding, sanctions and corruption issues, suspicious activity detection and reporting, and financial crime risk assessments, as well as providing advice and counsel to bank senior management and business leaders for financial crime issues arising in the region.

Prior to joining the private sector, Mr. Cope’s 17-year long career in the Hong Kong Police was mainly focused on the investigation and prosecuted serious complex financial crime and money-laundering, with postings to the Commercial Crime Bureau, Organized Crime and Triad Bureau and Narcotics Bureau. He was also part of the formulation and execution of the Hong Kong Police’s financial investigation policy and training including dealing with the Financial Action Task Force Mutual Evaluation process. Mr. Cope is a Member of the Hong Kong Chapter Board.


Hue Dang
  • Hue Dang, CAMS-Audit

  • Head of Asia
  • ACAMS

Bio

Ms. Dang is the Head of Asia of ACAMS, having established its regional head office in Hong Kong in 2008. Ms. Dang has more than 20 years’ experience in banking and finance. Prior to ACAMS, she was a Bank Examiner at the Federal Reserve Bank of Boston, Manager with Barclays Capital’s Investment Banking Division in Singapore, Director for Business Development at Citibank’s Global Consumer Banking Group in Singapore and Director of Business Development, Asia/Pacific, for Thomson Financial in Hong Kong. Ms. Dang holds educational degrees from the US, with a Bachelor of Arts Degree with honors from Amherst College and a Master in Public Policy from Harvard University, John F. Kennedy School of Government.


William Scott Grob
  • William Scott Grob, CAMS

  • AML Director – APAC
  • ACAMS

Bio

Mr. Grob has over 25 years of financial and banking expertise. His most recent role was as Regional Head of Affiliates Management, HSBC, where he worked on mitigating financial crime and correspondent banking risks across Asia. His 12-year career at the bank also included managing risk within the Equity/FX prime brokerage business, Structured Funds business, and Hedge Fund units.

Mr. Grob earned a Bachelor’s degree from Boston University, a Master of Arts from George Mason University, a certificate from Harvard Business School’s General Management Program, and a Doctorate of Management from SMC University (USA), where his dissertation was focused on correspondent banking- “IMPACT OF CORRESPONDENT BANK ENHANCED DUE DILIGENCE PRACTICES.” Also, he has designations from the Chartered Alternative Investment Analyst (CAIA) Association, and Global Association of Risk Professionals (FRM).

Overcoming Major Hurdles to Achieve a Holistic AML Compliance Program

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0
0

Sponsored by

CSI
  • When: February 15, 2018
  • Time: 12:00 – 1:00 PM ET
  • Levels: All

As your business grows, so too do the complexities of managing AML compliance and customer risk. Disparate lines of business, fragmented data sets, customers in numerous geographies, insufficient scalability of current systems and the need for real-time integration are a few examples of challenges facing today’s compliance programs. During this webinar, we will identify the four major hurdles compliance professionals must overcome in order to achieve a holistic, customer-centric approach to AML compliance.

Learning Objectives

  • Establishing a centralized customer risk profile by consolidating enterprise-wide fragmented data
  • Leveraging real-time screening and rescreening to enhance AML compliance and add business value
  • Strengthening ID verification with modern tools such as geolocation and device IDs to mitigate fraud

Who Should Attend

  • Compliance Managers
  • Risk Assessment Managers
  • Industry Consultants
  • Insurance Personnel
  • MSBs

Region/Industry

  • Global
  • Bank
  • AML Overall
  • Legal Counsel

Register for this Webinar



Speakers

Rosalie Griebel
  • Rosalie Griebel

  • Director of Product Management
  • CSI Regulatory Compliance

Neil Katkov
  • Neil Katkov

  • Research Director
  • Celent

Rethinking Digital Identity

$
0
0

Sponsored by

Thomson Reuters
  • When: February 20, 2018
  • Time: 12:00 – 1:00 PM ET
  • Level: All

Determining identity is a fundamental aspect of risk management for transactions. Increasingly, law enforcement agencies, banks and other organizations must consider the many facets of the identity puzzle in order to combat risk. Moreover, the increasing digitalization of governmental, economic and individual domains has complicated the management and verification of identities. Join Bob Schukai, Global Head of Design for Digital Identity Solutions at Thomson Reuters, for a conversation surrounding digital identity.

Learning Objectives

  • Understand the global identity landscape
  • Examine the different facets of identity
  • Reexamine the rules of the road for transaction risk management in lieu of ongoing data breaches

Who Should Attend

  • Compliance Personnel
  • Risk Assessment Managers
  • Industry Consultants

Region/Industries

  • Global
  • Digital Identity
  • Risk Management

Speaker

Robert Schukai
  • Robert Schukai

  • MBE Global Head of Design, Digital Identity Solutions
  • Thomson Reuters

ACAMS Enterprise Members

If you are part of your company’s ACAMS Enterprise membership or if you have a paid webinar subscription, please login here to access the entire library including free and paid webinars.

Register Below

Recent FinCEN Updates to SAR Requirements

$
0
0

Sponsored by

BAE Systems
  • When: March 6, 2018
  • Time: 12:00 – 1:00 PM ET
  • Level: All

This June, the FinCEN Suspicious Activity Report (SAR) filing format, which is available on the BSA E-Filing System, will be updated in order to adhere to the changes defined in the Federal Register notice posted in February 2017. During this webinar, notable changes regarding the new SAR requirements will be discussed such as the requirement for batch submissions to be made in an XML-based file, rather than the current ASCII fixed-length delimited file format.

Learning Objectives

  • Review important deadlines and timeframes pertaining to the upcoming FinCEN updates
  • Understand what’s new for SAR requirements, including subtype selections
  • Discuss cyber elements, including a new “Cyber Event” suspicious activity type category
  • Assessing how the FinCEN updates to SAR requirements impact financial institutions

Who Should Attend

  • Compliance Managers
  • General Counsel
  • FIU/FCC Personnel

Region/Industry

  • Global
  • Bank
  • North America

Register for this Webinar



Speaker

Meghan Palanza
  • Meghan Palanza, CAMS

  • BAE Systems
  • Lead Business Consultant

Cause and Impact: Inefficiencies in KYC and Sanctions Remediation and How to Overcome Them

$
0
0

Sponsored by

Lexis Nexis Risk Solutions
  • When: March 22, 2018
  • Time: 1400 – 1500 GMT
  • Level: All

Is 24 hours too long for customers to wait? Are lengthy Know Your Customer (KYC) & Sanctions remediation processes having a negative effect on the customer experience? What are the causes of inefficient remediation processes? Is financial crime exposure being increased by the poor remediation of alerts?

This webinar delivers the views of over 150 financial services professionals as conveyed in KYC & Sanctions Remediation: The Cost of Inefficiency. Find out the challenges your peers face when conducting Know Your Customer (KYC) and Sanctions remediation, and discover potential opportunities to improve outcomes.

Learning Objectives

  • Gaining the perspective of leading professionals from a variety of financial institutions on the challenges they have with regard to KYC & Sanctions remediation
  • Understanding the impact that differing team structures have on KYC & Sanctions remediation efficiency
  • Evaluating the underlying causes of inefficiencies in remediation processes, and the subsequent business impacts such inefficiencies create
  • Considering methods which can be applied to help overcome process inefficiencies, improve the customer experience and drive better outcomes

Who Should Attend

  • Compliance Personnel
  • General Counsel
  • FIU/FCC Personnel
  • On-boarding Managers

Region/Industries

  • Europe
  • Financial services

Register for this Webinar



Speakers

Michael Harris
  • Michael Harris

  • Director of Financial Crime Compliance
  • LexisNexis® Risk Solutions

James Leake
  • James Leake

  • Global Head of Financial Crime Negative News, Counter Terrorist Financing & PEPs Screening
  • HSBC

Learning from Recent Enforcement Actions (in Mandarin) 从裁罚案例中学习 (以普通话进行)

$
0
0
  • When:
    16 March 2018
    日期:
    2018年3月16日
  • Time:
    10:00am – 11:00am (HKT)
    时间:
    10:00am – 11:00am (香港时间)
  • Level:
    All
    程度:
    适合所有人

Through interpreting enforcement actions to understand the requirements of regulatory and international standards, re-examining the organization’s anti-money-laundering framework, and identifying risks. In this webinar, experts will demonstrate how to test the current program and identify risks with recent enforcement actions, in order to maintain and revise anti-money-laundering related policies, procedures, and controls.

近期全球各地的裁罚案例频传,透过解读不同的案例,了解监管法规及国际标准的要求,重新检视机构的反洗钱工作,进而辨识风险。在本次的网络研讨会中,专家将藉由不同的裁罚案例来说明如何检视现况并发现风险,为维护和更新反洗钱相关制度、工作提供做法。

Learning objectives include 学习目标:

  • Interpreting recent enforcement actions
    解读近期的裁罚案例
  • Understanding international standards and regulatory requirements from law enforcement actions
    从裁罚案例中了解国际标准与监管要求
  • Identify risks from enforcement actions
    从裁罚案例中发现自身的风险

Registration 登记

Please complete the form in English.
注:以下表格请以英文填写



Moderator 主持人

Joyce-Hsu
  • Joyce Hsu, CAMS-FCI | 许胧方 (CAMS-FCI)

  • AML Director – North Asia | 反洗钱合规策略总监
  • ACAMS | 公认反洗钱师协会

Pending bio


Speaker(s) 讲师

Dan Chan
  • Dan Chan, CAMS | 詹德恩 (CAMS)

  • Chief Compliance Officer | 法遵长
  • China Development Financial | 中华开发金控

  • QIN Ying, CAMS | 秦莹 (CAMS)

  • 反洗钱管理处处长
  • China GuangFa Bank | 广发银行

Bio | 简介

秦莹 广发银行反洗钱管理处处长,国际公认反洗钱师,高级会计师。自2003年中国全面启动反洗钱工作以来,即在反洗钱岗位工作至今,有着丰富的反洗钱合规管理经验,并在反洗钱领域进行了制度搭建、系统设计、流程优化等一系列探索性和创新性的尝试。

Starting and Navigating the CAMS Certification

$
0
0
  • When: March 21, 2018
  • Time: 12:00 – 1:00 PM (Eastern Standard Time)
  • Level: All

Curious about earning the CAMS designation? Not sure where to start? Confused about the certification process? This webinar was made especially for you! We understand that you may have many questions about becoming CAMS certified and we are here to answer them. This webinar will provide you with an in-depth look at the process becoming CAMS certified and help you navigate your way to success.

Who Should Attend

  • Anybody Interested in becoming certified
  • Anybody currently in the process of becoming certified

Region

  • Global

Speaker

  • Jose Lewis, CAMS

Bio

Jose Victor Lewis is Director of Global Accounts and Head of Africa and the Middle East for ACAMS where he leads ACAMS’ growth efforts throughout Africa, the Middle East and select accounts in the United States. Jose has been with ACAMS for over ten years and has played an instrumental role in establishing international training partnerships throughout Africa and the Middle East, with universities in the United States and Australia and with a number of the world’s leading advisory firms and financial institutions.

Prior to joining ACAMS, Jose served as Director for Latin America for Tiempos del Mundo, an international weekly publication that circulated throughout select cities in the United States and Latin America and as Regional Manager for Mexico, Central America and the Andean for LatinFinance, a pan-regional publication covering Latin American financial and capital markets.

In addition, Jose has also served as Executive Director of the Colombian American Chamber of Commerce and Director of Trade Research with the World Trade Center Miami. Jose is a Certified Anti-Money Laundering Specialist (CAMS) and holds a Bachelor of Arts Degree in International Relations and Certificate in Latin American Studies from Florida International University. He is originally from Barranquilla, Colombia and currently resides in Miami with his wife Maria Fernanda and three children Nicole, Sebastian and Khalil.

Attending the “Starting and Navigating the CAMS Certification” webinar does not qualify you for receiving CAMS credits.


ACAMS Enterprise Members

If you are part of your company’s ACAMS Enterprise membership or if you have a paid webinar subscription, please login here to access the entire library including free and paid webinars.

Register Below

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