This document provides information about an upcoming conference on compliance risks in trade products. The conference will help attendees strengthen controls around trade products to avoid regulatory penalties and reputational damage from money laundering and sanctions violations. It will include case studies and panels on implementing effective controls over the lifecycle of trade transactions, managing risks in high-risk jurisdictions and products, and adapting compliance programs to new regulatory expectations. Interactive sessions will also examine mitigating risks from specific problematic areas like trade with sanctioned countries and misuse of bills of lading.
El documento lista 8 evidencias de aprendizaje realizadas en el semestre sobre temas de TIC's. Estas incluyen un juego organizado, un proyecto de vida, la formación de la letra T, un resumen y análisis de la película "La educación prohibida", una reflexión sobre cómo aprende y se relaciona el autor, una historieta sobre la evolución de la educación, una línea de tiempo sobre la evolución de la educación tradicional a la virtual, y el uso de vocabulario tecnológico. El autor comparte esta lista
Todos manejamos documentos. De hecho son indispensables para ejercicio de muchas áreasprofesionales en el mundo entero. En ellos descargamos nuestras ideas, organizamos datos yadministramos información.
This document provides information on preparing for storms, including how to recognize warning signs, prepare, and plan an effective response. It discusses recognizing storm patterns through weather monitoring services, types of storms to be aware of, and key phases of planning like identifying risks, resources, command structure, and lessons learned. Effective preparation requires planning, assessing needs, training, implementing response plans, and reviewing plans after each storm to improve future response.
Este documento proporciona instrucciones en 3 pasos para editar un blog. Primero, se debe entrar a la plantilla del blog y dar clic en "Personalizar". Luego, se deben cambiar las configuraciones necesarias. Finalmente, dar clic en "Aplicar al blog" para guardar los cambios.
This document provides guidance on preparing for and responding to heat waves. It discusses identifying those at risk and checking on elderly community members. It recommends having an emergency plan and kit in case of power outages. Tips are provided on keeping homes cool and hydrated, with specific guidance for caring for children and those with medical conditions. Responders are advised to gradually acclimate to heat, drink plenty of water, and take breaks when working during heat waves. The overall message is to check on vulnerable groups, prepare homes and emergency supplies, and follow safety precautions to prevent heat-related illness.
Maximo Mobile Solutions - BPD Zenith PresentationHelen Fisher
This document summarizes BPD Solutions, an IBM Maximo partner. They have over 90 staff worldwide across offices in the UK, Canada, US, and Australia. They focus on asset management and have received awards for innovation and being the best global IBM business partner for asset management. Their offerings include Maximo implementation, upgrades, customizations, integration, support contracts, training, and Maximo cloud solutions. They also provide mobile solutions to improve work processes for asset management customers.
The original Holsopple Station was built in 1880 and served the community for 60 years until closing in the 1970s. It sat empty for years before being donated to the community on the condition it be moved off railroad property. Volunteers were able to move the station 20 feet to a new foundation. After years of deterioration, a restoration effort began in 1994 involving local volunteers and students rebuilding elements like the bay windows and doors. Through grants and donations, the exterior and interior were restored, with work like repainting, new roofing, and reconstructing the freight room floor. The long restoration process brought the historic station back to its former use.
El documento detalla los 12 derechos de los aprendices en el SENA. Estos incluyen el derecho a recibir información sobre opciones de formación y sus derechos y obligaciones, disponer de recursos para su formación, y recibir certificación una vez aprueben satisfactoriamente su programa de formación. También tienen derecho a ser evaluados de forma objetiva e integral y solicitar una revisión de sus evaluaciones si consideran que no fueron justas.
El documento lista 8 evidencias de aprendizaje realizadas en el semestre sobre temas de TIC's. Estas incluyen un juego organizado, un proyecto de vida, la formación de la letra T, un resumen y análisis de la película "La educación prohibida", una reflexión sobre cómo aprende y se relaciona el autor, una historieta sobre la evolución de la educación, una línea de tiempo sobre la evolución de la educación tradicional a la virtual, y el uso de vocabulario tecnológico. El autor comparte esta lista
Todos manejamos documentos. De hecho son indispensables para ejercicio de muchas áreasprofesionales en el mundo entero. En ellos descargamos nuestras ideas, organizamos datos yadministramos información.
This document provides information on preparing for storms, including how to recognize warning signs, prepare, and plan an effective response. It discusses recognizing storm patterns through weather monitoring services, types of storms to be aware of, and key phases of planning like identifying risks, resources, command structure, and lessons learned. Effective preparation requires planning, assessing needs, training, implementing response plans, and reviewing plans after each storm to improve future response.
Este documento proporciona instrucciones en 3 pasos para editar un blog. Primero, se debe entrar a la plantilla del blog y dar clic en "Personalizar". Luego, se deben cambiar las configuraciones necesarias. Finalmente, dar clic en "Aplicar al blog" para guardar los cambios.
This document provides guidance on preparing for and responding to heat waves. It discusses identifying those at risk and checking on elderly community members. It recommends having an emergency plan and kit in case of power outages. Tips are provided on keeping homes cool and hydrated, with specific guidance for caring for children and those with medical conditions. Responders are advised to gradually acclimate to heat, drink plenty of water, and take breaks when working during heat waves. The overall message is to check on vulnerable groups, prepare homes and emergency supplies, and follow safety precautions to prevent heat-related illness.
Maximo Mobile Solutions - BPD Zenith PresentationHelen Fisher
This document summarizes BPD Solutions, an IBM Maximo partner. They have over 90 staff worldwide across offices in the UK, Canada, US, and Australia. They focus on asset management and have received awards for innovation and being the best global IBM business partner for asset management. Their offerings include Maximo implementation, upgrades, customizations, integration, support contracts, training, and Maximo cloud solutions. They also provide mobile solutions to improve work processes for asset management customers.
The original Holsopple Station was built in 1880 and served the community for 60 years until closing in the 1970s. It sat empty for years before being donated to the community on the condition it be moved off railroad property. Volunteers were able to move the station 20 feet to a new foundation. After years of deterioration, a restoration effort began in 1994 involving local volunteers and students rebuilding elements like the bay windows and doors. Through grants and donations, the exterior and interior were restored, with work like repainting, new roofing, and reconstructing the freight room floor. The long restoration process brought the historic station back to its former use.
El documento detalla los 12 derechos de los aprendices en el SENA. Estos incluyen el derecho a recibir información sobre opciones de formación y sus derechos y obligaciones, disponer de recursos para su formación, y recibir certificación una vez aprueben satisfactoriamente su programa de formación. También tienen derecho a ser evaluados de forma objetiva e integral y solicitar una revisión de sus evaluaciones si consideran que no fueron justas.
Corporate Compliance & Disclosure 2015Ruoh Yi Tham
Graft Investigations are on the up, particularly in emerging markets. In the myriad of variables including Third parties, JV partners, Subsidiaries and unaware employees, internal controls need to be bullet proof.
That said, irrespective of being in the right, a corporate can be subject to investigations. How does one manage the process, what are the disclosure obligations, and how should the company get quick closure?
IBC's Expert Briefing on Corporate Compliance and Disclosure is Asia’s ONLY gathering that address the full range of compliance issues confronting business today. www.complianceanddisclosure.com
This document discusses regulatory reform efforts in the United Kingdom aimed at reducing unnecessary burdens on businesses while maintaining important protections. It outlines a history of regulatory reform initiatives since the 1940s focused on deregulation and reducing red tape. More recently, the emphasis has shifted to risk-based and targeted enforcement of regulations. The Better Regulation Delivery Office works with UK and international organizations to implement principles of risk-based regulation, improve inspections, and support businesses' experience with regulation.
5th Anti-Corruption and Compliance for the Oil, Gas and Extractive Industries...MarcusEvans UK
2014 Conference- Agenda & Speaker Bios
marcus evans is one of the world's leading providers and promoters of global summits strategic conferences, professional training, in-Company training, business-to-business congresses, sports hospitality and on-line information. The company also owns a leading football club, represents Hollywood stars and produces films and entertainment. To find out more about how you and your organisation can access the very best in business information, please visit us at: www.marcusevans.com
This document summarizes a two-day conference on global trade compliance and export controls for the oil and gas industry. The conference features expert panels and case studies from companies like Shell, Baker Hughes, GE Oil & Gas, and Honeywell. Attendees will learn about new regulations and sanctions affecting trade, how to design robust compliance programs, and challenges with dual-use technologies and deemed exports. There is also a half-day post-conference workshop on export compliance in the UK and EU led by an expert in the field.
This document provides information on the "Discovering the Route to Regulatory Compliance" conference taking place on September 23-24, 2015 in Barcelona, Spain. The conference will address topics related to regulatory compliance with REACH, including preparing for the 2018 registration deadline, managing substances of very high concern (SVHCs) and applications for authorization, substance and dossier evaluation, safety data sheets, and more. It lists keynote speakers from the European Chemicals Agency and industry organizations discussing these topics.
3rd corporate compliance & transparency in pharmaMarket iT
This document summarizes a conference on corporate compliance and transparency in the pharmaceutical industry to be held in Zurich, Switzerland on February 25-26, 2015. The conference will address topics such as EFPIA disclosure requirements, defining transparency frameworks, preventing corruption, and challenges in emerging markets. It will feature speakers from pharmaceutical companies and industry groups. Attendees will include compliance officers, lawyers, and those involved in corporate responsibility, contracts, auditing, and business conduct.
Fraud and Corruption Risk Management 2012Ola Odejayi
The document advertises a 2-day workshop on fraud and corruption risk management to be held from 13-14 March 2012 in Johannesburg, South Africa. The workshop will address key components of fraud and corruption risk management, including identification, assessment, mitigation and monitoring of risks. It will provide practical knowledge and tools to develop an effective fraud prevention strategy. The facilitator, Pat Cunningham, has extensive experience in fraud prevention, risk management and corporate governance.
This document discusses the OECD Guidelines for Multinational Enterprises and responsible business conduct. It provides an overview of the Guidelines, including their coverage of human rights, employment, environment, and anti-bribery. It describes the role of National Contact Points in resolving issues and promoting the Guidelines. It also discusses due diligence and risk-based approaches to supply chain management. Sector projects provide guidance on applying due diligence in key industries like extractives, agriculture, and textiles. Mediation is presented as an approach for National Contact Points to assist in resolving issues related to the Guidelines.
Public Sector Risk Management Ghana 2012Ola Odejayi
The document provides information about a two-day workshop on integrated public sector risk management. The workshop will be held in Accra, Ghana from March 7-8, 2012. It will cover topics such as introducing risk management, operational risk management, financial risk management, and case studies. The objectives are to provide practical guidance on applying risk management concepts in central governments, provincial governments, state-owned entities, and local authorities in Africa. Attendees will learn how to establish risk governance structures and apply risk management approaches.
WBR have expanded our buy-side portfolio with our new Risk & Compliance Summit aimed at CRO's & CCO's from key buy-side firms. Do take a look at our draft agenda and get in touch if you want to be a part of this unique C-Level event
This document outlines an upcoming two-day training on Anti Money Laundering and Counter Terrorism Financing taking place in Bangkok, Thailand from May 12-13, 2016. The training will be led by R.M. Magan and cover topics such as international AML standards, designing effective risk-based AML programs, red flags, and workshops using case studies. Attendees will include compliance officers and others working to prevent financial crimes. The agenda includes sessions on money laundering trends, policies and procedures, risk assessments, and know your employee practices.
Commission grand sud cercle montesquieu 29 octobre 2017 présentation de jan...holtzhausser
Support de présentation sur le thème de la due diligence anti-corruption dans les opérations de M&A, dans le cadre de la conférence du Cercle Montesquieu du 29 octobre 2017.
Economic Sanctions and Financial Crime_598X17_SAnita Arthur
This document advertises and provides an agenda for the 5th Annual "Economic Sanctions and Financial Crime" forum taking place on November 15-16, 2016 in London. The forum will bring together over 500 leaders and policymakers from legal, enforcement, and regulatory compliance to discuss challenges and best practices regarding sanctions and financial crime prevention. Speakers will include representatives from the UK Treasury, US Treasury, Dutch Central Bank and other leading financial institutions. Topics will include the UK's new sanctions enforcement regime post-Brexit, managing sanctions related to Iran and other jurisdictions, strengthening compliance programs, and mitigating emerging risks such as terrorist financing.
Anti-Money Laundering and Countering the Financing of Terrorism - StubbsGazet...StubbsGazette
This document summarizes an anti-money laundering workshop presented by Orna McNamara from the Central Bank of Ireland. The workshop covered Ireland's anti-money laundering and countering terrorist financing laws and regulations, which are based on international FATF standards and European Union directives. It also discussed the Central Bank's role in supervising financial institutions for compliance, including risk-based on-site inspections. Common deficiencies found in inspections included weaknesses in governance, training, customer due diligence, and suspicious transaction reporting. Upcoming changes from the 4th EU Anti-Money Laundering Directive and Ireland's upcoming FATF mutual evaluation review were also outlined.
With a zero tolerance level in Money Laundering and associated large regulatory penalties for non compliance, Banks and other Financial Institutes are spending immense time, effort and money to achieve compliance. Needless to say, it is still not enough. The Black Swan can enter into any Financial Institute’s Branch on any given day and sting the Bank by surprise.
The implementation of a formal and a structured AML Mitigation and oversight system and processes that effectively identify, assess, and manage such risk within acceptable levels is a challenge. Therefore, awareness about the menace of money laundering and thorough understanding of the antimony laundering process and its current trends at all levels of staff of a bank/FI are ever growing necessities.
Awaiting your valuable nominations/enquiries to make the programs mutually beneficial and successful. Please email manoj.jain@riskpro.in or contact at 98337 67114 for more details.
Program Highlights
Let the experts guide you on the best practices in Anti Money Laundering
Perspective from RBI, FIU- IND, Income Tax and more
Global regulations around AML/KYC
Indian regulations and latest reforms
How to avoid any kind of surprises
Linking AML compliance to Reputation Risk, Social Media Risk
Dodd Frank Act, US Patriot Act
What it takes to say “NO” to profitable and abundant business
Speakers and Panelist
Guest speakers from Regulatory Authorities
Risk Management and Banking Experts
Manoj Jain, Director and Co Founder, Riskpro India
Hemant Seigell, Director, Riskpro India
R Muralidharan, ex DGM - Risk Management, Bank of Maharashtra
Hemlatha Mohan, ex Country Head ORM, ING Vysya Bank
Prasanna Rath, ex Head of Risk, TAIB Bank, Bahrain
Prominent AML experts as panelist
This document provides information about an upcoming conference on Anti Money Laundering Practices. The conference will be held in multiple cities in India between June and August 2013. It will provide guidance to professionals on best practices for complying with AML regulations and mitigating risks. Speakers will include regulators and experts who will discuss the latest AML trends, global regulations, and how to design effective AML frameworks and processes. The agenda covers topics such as suspicious activity reporting, risk profiling customers, using technology for detection, and strengthening compliance culture.
This document advertises and provides information about an upcoming conference on Anti Money Laundering Practices. The conference will be held in 4 different cities in India between June and August 2013. It is aimed at risk management and compliance professionals from banks, brokerage firms, and other financial institutions. The conference will provide information on global and Indian AML regulations and challenges, how to design an effective AML framework, and the use of technology to detect money laundering. It will feature speakers from regulatory authorities and industry experts.
This document announces a series of conferences on anti-money laundering practices to be held in various Indian cities between June and August 2013. The conferences will provide an overview of anti-money laundering regulations and developments, challenges in compliance, and best practices for designing effective anti-money laundering frameworks. Speakers will include regulators and banking experts. Attendees will include risk managers, compliance officers, and other professionals. The agendas will cover topics such as emerging money laundering trends, know-your-customer processes, detecting suspicious activities, and using technology for compliance.
This document provides information about an upcoming conference on Anti Money Laundering Practices. The conference will be held in multiple cities in India between June and August 2013. It will bring together banking professionals, regulators and experts to discuss challenges and best practices around complying with AML requirements. The agenda covers emerging money laundering trends, regulatory changes, designing effective AML frameworks, and using technology for detection. Attendees can gain practical tools for implementing AML processes in their organizations.
Corporate Compliance & Disclosure 2015Ruoh Yi Tham
Graft Investigations are on the up, particularly in emerging markets. In the myriad of variables including Third parties, JV partners, Subsidiaries and unaware employees, internal controls need to be bullet proof.
That said, irrespective of being in the right, a corporate can be subject to investigations. How does one manage the process, what are the disclosure obligations, and how should the company get quick closure?
IBC's Expert Briefing on Corporate Compliance and Disclosure is Asia’s ONLY gathering that address the full range of compliance issues confronting business today. www.complianceanddisclosure.com
This document discusses regulatory reform efforts in the United Kingdom aimed at reducing unnecessary burdens on businesses while maintaining important protections. It outlines a history of regulatory reform initiatives since the 1940s focused on deregulation and reducing red tape. More recently, the emphasis has shifted to risk-based and targeted enforcement of regulations. The Better Regulation Delivery Office works with UK and international organizations to implement principles of risk-based regulation, improve inspections, and support businesses' experience with regulation.
5th Anti-Corruption and Compliance for the Oil, Gas and Extractive Industries...MarcusEvans UK
2014 Conference- Agenda & Speaker Bios
marcus evans is one of the world's leading providers and promoters of global summits strategic conferences, professional training, in-Company training, business-to-business congresses, sports hospitality and on-line information. The company also owns a leading football club, represents Hollywood stars and produces films and entertainment. To find out more about how you and your organisation can access the very best in business information, please visit us at: www.marcusevans.com
This document summarizes a two-day conference on global trade compliance and export controls for the oil and gas industry. The conference features expert panels and case studies from companies like Shell, Baker Hughes, GE Oil & Gas, and Honeywell. Attendees will learn about new regulations and sanctions affecting trade, how to design robust compliance programs, and challenges with dual-use technologies and deemed exports. There is also a half-day post-conference workshop on export compliance in the UK and EU led by an expert in the field.
This document provides information on the "Discovering the Route to Regulatory Compliance" conference taking place on September 23-24, 2015 in Barcelona, Spain. The conference will address topics related to regulatory compliance with REACH, including preparing for the 2018 registration deadline, managing substances of very high concern (SVHCs) and applications for authorization, substance and dossier evaluation, safety data sheets, and more. It lists keynote speakers from the European Chemicals Agency and industry organizations discussing these topics.
3rd corporate compliance & transparency in pharmaMarket iT
This document summarizes a conference on corporate compliance and transparency in the pharmaceutical industry to be held in Zurich, Switzerland on February 25-26, 2015. The conference will address topics such as EFPIA disclosure requirements, defining transparency frameworks, preventing corruption, and challenges in emerging markets. It will feature speakers from pharmaceutical companies and industry groups. Attendees will include compliance officers, lawyers, and those involved in corporate responsibility, contracts, auditing, and business conduct.
Fraud and Corruption Risk Management 2012Ola Odejayi
The document advertises a 2-day workshop on fraud and corruption risk management to be held from 13-14 March 2012 in Johannesburg, South Africa. The workshop will address key components of fraud and corruption risk management, including identification, assessment, mitigation and monitoring of risks. It will provide practical knowledge and tools to develop an effective fraud prevention strategy. The facilitator, Pat Cunningham, has extensive experience in fraud prevention, risk management and corporate governance.
This document discusses the OECD Guidelines for Multinational Enterprises and responsible business conduct. It provides an overview of the Guidelines, including their coverage of human rights, employment, environment, and anti-bribery. It describes the role of National Contact Points in resolving issues and promoting the Guidelines. It also discusses due diligence and risk-based approaches to supply chain management. Sector projects provide guidance on applying due diligence in key industries like extractives, agriculture, and textiles. Mediation is presented as an approach for National Contact Points to assist in resolving issues related to the Guidelines.
Public Sector Risk Management Ghana 2012Ola Odejayi
The document provides information about a two-day workshop on integrated public sector risk management. The workshop will be held in Accra, Ghana from March 7-8, 2012. It will cover topics such as introducing risk management, operational risk management, financial risk management, and case studies. The objectives are to provide practical guidance on applying risk management concepts in central governments, provincial governments, state-owned entities, and local authorities in Africa. Attendees will learn how to establish risk governance structures and apply risk management approaches.
WBR have expanded our buy-side portfolio with our new Risk & Compliance Summit aimed at CRO's & CCO's from key buy-side firms. Do take a look at our draft agenda and get in touch if you want to be a part of this unique C-Level event
This document outlines an upcoming two-day training on Anti Money Laundering and Counter Terrorism Financing taking place in Bangkok, Thailand from May 12-13, 2016. The training will be led by R.M. Magan and cover topics such as international AML standards, designing effective risk-based AML programs, red flags, and workshops using case studies. Attendees will include compliance officers and others working to prevent financial crimes. The agenda includes sessions on money laundering trends, policies and procedures, risk assessments, and know your employee practices.
Commission grand sud cercle montesquieu 29 octobre 2017 présentation de jan...holtzhausser
Support de présentation sur le thème de la due diligence anti-corruption dans les opérations de M&A, dans le cadre de la conférence du Cercle Montesquieu du 29 octobre 2017.
Economic Sanctions and Financial Crime_598X17_SAnita Arthur
This document advertises and provides an agenda for the 5th Annual "Economic Sanctions and Financial Crime" forum taking place on November 15-16, 2016 in London. The forum will bring together over 500 leaders and policymakers from legal, enforcement, and regulatory compliance to discuss challenges and best practices regarding sanctions and financial crime prevention. Speakers will include representatives from the UK Treasury, US Treasury, Dutch Central Bank and other leading financial institutions. Topics will include the UK's new sanctions enforcement regime post-Brexit, managing sanctions related to Iran and other jurisdictions, strengthening compliance programs, and mitigating emerging risks such as terrorist financing.
Anti-Money Laundering and Countering the Financing of Terrorism - StubbsGazet...StubbsGazette
This document summarizes an anti-money laundering workshop presented by Orna McNamara from the Central Bank of Ireland. The workshop covered Ireland's anti-money laundering and countering terrorist financing laws and regulations, which are based on international FATF standards and European Union directives. It also discussed the Central Bank's role in supervising financial institutions for compliance, including risk-based on-site inspections. Common deficiencies found in inspections included weaknesses in governance, training, customer due diligence, and suspicious transaction reporting. Upcoming changes from the 4th EU Anti-Money Laundering Directive and Ireland's upcoming FATF mutual evaluation review were also outlined.
With a zero tolerance level in Money Laundering and associated large regulatory penalties for non compliance, Banks and other Financial Institutes are spending immense time, effort and money to achieve compliance. Needless to say, it is still not enough. The Black Swan can enter into any Financial Institute’s Branch on any given day and sting the Bank by surprise.
The implementation of a formal and a structured AML Mitigation and oversight system and processes that effectively identify, assess, and manage such risk within acceptable levels is a challenge. Therefore, awareness about the menace of money laundering and thorough understanding of the antimony laundering process and its current trends at all levels of staff of a bank/FI are ever growing necessities.
Awaiting your valuable nominations/enquiries to make the programs mutually beneficial and successful. Please email manoj.jain@riskpro.in or contact at 98337 67114 for more details.
Program Highlights
Let the experts guide you on the best practices in Anti Money Laundering
Perspective from RBI, FIU- IND, Income Tax and more
Global regulations around AML/KYC
Indian regulations and latest reforms
How to avoid any kind of surprises
Linking AML compliance to Reputation Risk, Social Media Risk
Dodd Frank Act, US Patriot Act
What it takes to say “NO” to profitable and abundant business
Speakers and Panelist
Guest speakers from Regulatory Authorities
Risk Management and Banking Experts
Manoj Jain, Director and Co Founder, Riskpro India
Hemant Seigell, Director, Riskpro India
R Muralidharan, ex DGM - Risk Management, Bank of Maharashtra
Hemlatha Mohan, ex Country Head ORM, ING Vysya Bank
Prasanna Rath, ex Head of Risk, TAIB Bank, Bahrain
Prominent AML experts as panelist
This document provides information about an upcoming conference on Anti Money Laundering Practices. The conference will be held in multiple cities in India between June and August 2013. It will provide guidance to professionals on best practices for complying with AML regulations and mitigating risks. Speakers will include regulators and experts who will discuss the latest AML trends, global regulations, and how to design effective AML frameworks and processes. The agenda covers topics such as suspicious activity reporting, risk profiling customers, using technology for detection, and strengthening compliance culture.
This document advertises and provides information about an upcoming conference on Anti Money Laundering Practices. The conference will be held in 4 different cities in India between June and August 2013. It is aimed at risk management and compliance professionals from banks, brokerage firms, and other financial institutions. The conference will provide information on global and Indian AML regulations and challenges, how to design an effective AML framework, and the use of technology to detect money laundering. It will feature speakers from regulatory authorities and industry experts.
This document announces a series of conferences on anti-money laundering practices to be held in various Indian cities between June and August 2013. The conferences will provide an overview of anti-money laundering regulations and developments, challenges in compliance, and best practices for designing effective anti-money laundering frameworks. Speakers will include regulators and banking experts. Attendees will include risk managers, compliance officers, and other professionals. The agendas will cover topics such as emerging money laundering trends, know-your-customer processes, detecting suspicious activities, and using technology for compliance.
This document provides information about an upcoming conference on Anti Money Laundering Practices. The conference will be held in multiple cities in India between June and August 2013. It will bring together banking professionals, regulators and experts to discuss challenges and best practices around complying with AML requirements. The agenda covers emerging money laundering trends, regulatory changes, designing effective AML frameworks, and using technology for detection. Attendees can gain practical tools for implementing AML processes in their organizations.
Mind the Gaps: Compliance Forum Asia Pacific Region
Agenda compliance risk trade products
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
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