1. conferences
Tradeproductsarethe
soft underbelly ofabank,
andcontrolsaroundthem
mustbestrengthened.
Marriott Marble Arch, London, UK
4th
– 5th
December 2014
Attending This Premier marcus evans Conference
Will Enable You to
• Scrutinise controls for AML and CTF for trade products to ensure
they are up to the required standards
• Avoid breaching rules on sanctions through your trade
product business
• Discover what regulators expect and the potential penalties
and reputational damage associated with breaching rules
• Benefit from a heat map of which products, counterparties,
and transactions pose the greatest compliance risk
Interactive Workshop on 4th
December
PEP risk exposure and trade based money laundering
(TBML)
Tom Brown
CEO and Senior Consultant
Kaizen Compliance Solutions
Neil Marshall
COO and Senior Consultant
Kaizen Compliance Solutions
Jorge Montana
Managing Director
Kaizen Compliance Solutions
Expert Speaker Panel
Simon Deutsch
Global Head Compliance New
Non Core Division and Global
Transaction Banking
Deutsche Bank
Charlene Eyles
Director, Compliance Division of EMEA
Bank of Tokyo-Mitsubishi UFJ
Melanie Johnston
Group Head: AML, CTF and
Sanctions Programmes
Nedbank
Simon Wilkin
Head of Financial Crime Group
Sumitomo Mitsui Banking
Corporation Europe
Antonio Artur Ferreira
Head of Compliance
Grupo Banco Finantia, S.A.
Ignacio Echeverría Miralles
de Imperial
AML and Sanctions
Compliance Officer
Aresbank
Jim Bidwell
AML and Sanctions Trade Advisory,
Corporate and Institutional Banking
RBS
Selim Önal
Head of Compliance
Akbank
Graham Dorkins
MLROandAssistantCompliance Officer
Persia International Bank Plc
Stephane Orliac
Head of Legal and Compliance
BGFI International
Pottengal Mukundan
Director
ICC – International Maritime Bureau
ICC – Commercial Crime Services
Anthony Smith-Meyer
Professor of International Business
and Management
University of Miami, Ohio - Europe
Campus, Luxembourg
Scott Nance
Former Head of Sanctions Compliance
ING
Nico Zwikker
Former Group Head of Compliance
ABN Amro
Norashikin SM Amin
MLRO
China Construction Bank
(London) Limited
In the Chair
Scott Nance
Former Head of Sanctions Compliance
ING
Media Partners
Compliance Risk in Trade Products
Implementing proactive controls around trade and commodity finance to prevent fines
and reputational damage
Interactive Roundtable Sessions
• Mitigating trade compliance risk within high risk
geographies
• Identifying and managing key transactional risks within
trade and commodity finance
• Coping with compliance risk within specific trade
products
r
Learn from Key Practical Case Studies
• Bank of Tokyo-Mitsubishi UFJ address mitigating compliance
risk throughout a trade finance transaction
• Nedbank explore the role of compliance controls within sanctions
• Deutsche Bank examine compliance processes to control
financial crime
• Aresbank demonstrate how to manage risk in high risk
jurisdictions

2. Day One
4th
December 2014
P
08.30 Registration and Coffee
09.00 Opening Address from the Chair
EXAMINING CONTROLS FOR TRADE PRODUCTS
09.10 Case Study
A practical examination of financial crime in trade products
• Methods for integrating compliance processes within resource and
time constraints
• Early identification of suspicious trades and transactions: Red flags
and what this can mean
• What detection processes and systems have proven most effective?
Simon Deutsch
Global Head Compliance New Non Core Division and Global
Transaction Banking
Deutsche Bank
09.55 Case Study
Compliance risk in the lifecycle of a trade finance
transaction
• Which periods of the transaction have heightened risk?
• What controls should be enacted at what times?
• What structures can be emplaced to control the inherent risk?
• What markers were present post-event to indicate where
compliance risk was present, and what lessons can be learnt?
Charlene Eyles
Director, Compliance Division of EMEA
Bank of Tokyo-Mitsubishi UFJ
10.40
An excellent opportunity to speak directly with your peers
and network effectively. Exchange your views and business cards.
10.55
11.15 FCA thematic review TF14/16 on Money Laundering
and sanctions risk
TBC
Norashikin SM Amin
MLRO
China Construction Bank (London) Limited
11.45 Identifying and managing extraterritorial risk
• Identifying the source of extraterritorial risk
• Managing the emergence of new risks - The Russia example
• Dealing with uncertainty and dilemmas
• The role of governance in managing extraterritorial risk
• Risk, culture and decision taking
Anthony Smith-Meyer
Professor of International Business and Management
University of Miami, Ohio – European Campus, Luxembourg
Nico Zwikker
Former Group Head of Compliance
ABN Amro
12.30 Lunch
13.45 Case Study
Controls for trade operations in a small entity
• Prioritisation and establishment of controls
• How have controls been supported from scratch?
• Adapting controls alongside evolving trade operations
Stephane Orliac
Head of Legal and Compliance
BGFI International
14.30 KYC and On-boarding processes
• Managing increased due diligence procedures and PEP
• Minimising consumer impact of appropriate processes
• Integrating KYC with detection of sanctions evasion and financial
crime controls
Scott Nance
Former Head of Sanctions Compliance
ING
15.15
TRADE PRODUCTS AND A TUMULTUOUS POLITICAL ENVIRONMENT
PANEL DISCUSSION
15.45 Impact of sanctions in the current political environment
• What effect is the current political situation in Russia going to have
on trade products?
• Is there a lack of clarity around quickly enacted sanctions?
• How can ongoing trade operations and relationships persist in the
face of incoming sanctions?
Graham Dorkins
MLRO and Assistant Compliance Officer
Persia Bank International Plc
Jim Bidwell
AML Advisory, Markets and International Banking
RBS
16.30 Closing Comments from Chair and End of Day One
Who Should Attend
From Banks:
• Trade/Treasury Product Compliance
• Transaction Banking Compliance
• Compliance
• AML
• Sanctions
• Financial Crime
• MLRO
Business Development Opportunities
Does your company have services, solutions or technologies that the
conference delegates would benefit from knowing about?
If so, you can find out more about the exhibiting, networking
and branding opportunities available by contacting:
Athul George, Business Development Director
marcus evans London
Tel: +44 (0)20 3002 3172
E-Mail: AthulG@marcusevansuk.com

3. Day Two
5th
December 2014
P
R
08.30 Registration and Coffee
09.00 Opening Address from the Chair
09.10 Case Study
Mitigating and controlling sanctions risk
• Interconnectedness with sanctioned parties: EDD and monitoring
relationships
• Movement of goods near sanctioned geographies
• Evading sanctions and how bills of lading are misrepresented
Melanie Johnston
Group Head: AML, CTF, and Sanctions Programmes
Nedbank
ADOPTING TRADE PRODUCT COMPLIANCE TO A NEW REGULATORY
ENVIRONMENT
PANEL DISCUSSION
09.55 Governance challenges in supervising trade products
• Aligning the compliance function with internal control functions to
promote the right culture
• What would the role of compliance be alongside HR and internal
communications throughout a culture change?
• Proactively engaging employees with the right culture
• Can culture change effectively reduce risk of sanctions and
compliance breaches and how can you start to measure success in
this area?
Anthony Smith-Meyer
Professor of International Business and Management
University of Miami, Ohio – European Campus, Luxembourg
Antonio Artur Ferreira
Head of Compliance
Grupo Banco Finantia S.A.
Simon Wilkin
Head of Financial Crime Group
Sumitomo Mitsui Banking Corporation Europe
10.40
HEAT MAP: HIGHLIGHTING HOT ZONES OF TRADE PRODUCT
COMPLIANCE RISK
11.10 Financial crime and sanctions risk in the Middle East
• Identifying heightened areas of risk
– How to define the business risk in the region
– What are the key risk areas?
– Risky businesses
• Protecting your institution from sanctions risk: KYC and EDD
– Establishing the KYC principles regarding the regional risks
– High risk elements
– Management challenges
– Client risk scoring troubles in the region
– Regulatory filtering
– Strengthening AML and sanctions monitoring systems
• What structures can be emplaced to avoid sanctions breaches as an
enterprise-wide approach
Selim Önal
Head of Compliance
Akbank
11.55 The misuse of bills of lading in trade finance
• Bills of lading: A key vulnerability
• Banks at risk: Examples, prevention and response
• Movement of goods near sanctioned geographies
Pottengal Mukundan
Director
ICC – International Maritime Bureau
ICC – Commercial Crime Services
12.40 Lunch
13.40 Case Study
Compliance risk and sanctions in high risk jurisdictions
• Differences in sanctions compliance when working in high risk
geographies
• Identification of risk and what EDD and KYC processes have to be
implemented to control risks
• Increased regulatory scrutiny and its impact on
the compliance function
Ignacio Echeverría Miralles de Imperial
AML and Sanctions Compliance Officer
Aresbank
HEAT MAP: ROUNDTABLE AND BREAKOUT SESSIONS
14.25 Following the panel discussion, roundtable discussions around the
three categories of geographies, transactions and products will
commence. Delegates will be able to join discussions and speak
to experts in this area about their individual concerns, spending
approximately 30 minutes on each topic.
Table One
Mitigating trade compliance risk within high risk geographies
Antonio Artur Ferreira
Head of Compliance
Grupo Banco Finantia S.A.
Table Two
Identifying and managing key transactional risks within
trade and commodity finance
Selim Önal
Head of Compliance
Akbank
Table Three
Copingwithcomplianceriskwithinspecifictradeproducts
Melanie Johnston
Group Head: AML, CTF and Sanctions Programmes
Nedbank
Table 4
Africa and the unique trade product compliance challenges
it presents
Scott Nance
Former Head of Sanctions Compliance
ING
16.00 Closing Comments from Chair and End of the Conference

4. W InteractiveConferenceWorkshop
Trade based money laundering and PEP in trade finance
4th
December 2014
16.30 Workshop Leader’s Introduction and Opening Remarks
This will be a practical, break out based session looking at
managing trade based money laundering and politically exposed
persons in trade finance. Delegates will come away with new
strategies and methods for tackling these issues and will also have
chance to benchmark the issues with their peers
• Understanding PEP Risk Exposure
• Identifying and Managing PEP Risk
• PEPS & Due Diligence Requirements
• Understanding TBML Risk
• Techniques of Managing TBML Risk
• Due Diligence Approach
Tom Brown
CEO and Senior Consultant
Kaizen Compliance Solutions
Neil Marshall
COO and Senior Consultant
Kaizen Compliance Solutions
Jorge Montana
Managing Director
Kaizen Compliance Solutions
18.30 Closing Remarks from the Workshop Leader
Testimonials
“We appreciate the diversity of the subject approached. It
gave us an update of the situation covering regulation, new
products and the impact”
Commerzbank
“Well organised, pleasant organisers and time well
managed”
Barclays
“All of the sessions were very informative for me, if I have
the chance I would like to join again”
Mizuho
About the Media Partners
BetterRegulation.com is a unique resource providing a
compliance solution. A complete, ‘one-stop’ reference for all
the statutory, regulatory and compliance material needed to
compliantly manage your business – domestic and European
Unequalled in its functions; BetterRegulation.com is:
• Consolidated and up-to-date.
• Cross-referenced throughout.
• With all amendments incorporated.
Areas covered include: Financial Services Law & Regulation,
European Law, Company Law, Pensions Law, Tax Law,
Accounting, Actuarial guidance, Anti-Money Laundering.
The GlobalRisk Community is a thriving community of risk
managers and associated service providers. Our purpose is
to foster business, networking and educational explorations
among members. Our goal is to be the worlds premier Risk
forum and contribute to better understanding of complex world
of risk.
The International Association of Financial Executives Institutes
or IAFEI (www.iafei.org) is a private non-profit and non-political
association of Financial Executives Institutes from all over
the world. Founded in 1969, IAFEI currently has 17 Member
Institutes in the Americas, Asia, Europe and the Middle East,
with a total membership of over 20,000 financial executives.
IAFEI aims to:
• build and improve mutual understanding internationally
among financial executives through the exchange of financial
information, experience and ideas;
• provide a basis for international cooperation among financial
executives toward making financial systems and regulations
more uniform, compatible and harmonious worldwide;
• promote ethical considerations in the practice of financial
management throughout the world.
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