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Anti Money
Laundering
Practices
“Are we doing enough to protect integrity
of Indian financial sector?”
July 10 – July 11
Mumbai: The Mirador Hotel,
Andheri East
July 18 – July 19, 2013
Bangalore
August 20-August 21, 2013
Delhi
June 6 - June 7, 2013 (Concluded)
Chennai: Hotel Savera, RK Salai
 Risk Management and
Compliance Heads
 Practicing professionals
 Wealth Mangers, Broker Dealer
Professionals
 Business Heads, Operations Head
 Branch Managers
 Internal Auditors
 External Consultants
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
Who should attend
Our sponsorship programs are meant
to grow your business and not shrink
your bottom-line. Contact for more info:
Manoj Jain
+91 98337 67114
manoj.jain@riskpro.in
Sponsorship
Connect with your Customers
For more information, visit www.riskpro.in/AMLtraining
A Riskpro India Initiative
Background on Anti Money Laundering
Banks face growing costs to comply with AML requirements. 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 and efforts 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 Challenge
The solution to the above challenge is 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.
Overview and Summary
The course provides participants the understanding of Anti Money Laundering, KYC and
Combating Terrorism Financing. The conference provides participants with practical tools
and methods required for implementation of the framework.
This is an instructor led course designed to provide a practical understanding of the new
global framework for risk management. In this two days intensive course, participants
gain a complete understanding for implementing AML/KYC processes in their
organization. Practical exercises and case studies help to better understand concepts
and evaluation of multiple methods and techniques.
Program Details and Agenda
This conference focuses on current money laundering trends, recent case studies and
lessons learned. It is an opportunity for legal, compliance, risk and Banking professionals
to interact with industry experts, regulators and peers to address the key issue. “Are we
doing enough to protect the integrity of the Indian financial system”
See detailed Agenda on the next page.
Training Methodology and Course Content
This is an interactive conference that combines formal theoretical presentations, case
studies and expert views.
 Delegate Course Material includes full set of presentation slides
 Delivery by Risk Management Experts with practical experiences
 Additional Handouts based on exercised and recent news coverage
 Completion certificate
Training Objectives
The goal of this course is to provide
you an overview of the Anti Money
Laundering developments, recent
trends, challenges and other
implications. The conference also
addresses best practices and how to
design effective AML frameworks.
The training program is designed to
ensure that participants can
implement it in their organisation with
minimal external consulting support.
The following are the training
objectives for the program:
 Building a business case for Board
and senior management approval
 How to setup and implement the
principles and framework within
your organisation
 Comprehensive review and
understanding of the Risk
Management process and
systems specifically addressing
AML/ KYC and CTF
 Understand various risk
identification and risk assessment
techniques relating to AML
8:30 Registration
9:30 Welcome Address
Guest speaker
10:00 Global emerging challenges in Money laundering
efforts
 Global perspective to AML
 Latest developments in AML/KYC
10:45 What’s New and Recent Regulatory
Developments in AML and FATF (Indian and
International perspective)
 Regional perspectives from the USA, UK and Asia
on enforcement and the impact of money
laundering.
 Prevention of Money Laundering Act (PMLA)-
Overview and Key Provisions
 Recent developments in Indian regulations, PMLA
updates
 RBI Guidelines for KYC and AML
 SEBI Guidelines for KYC and AML
11:30 Break and Refreshments
11:45 Introduction to Money Laundering
 Define money laundering and terrorist financing
 Identify the principal sources of laundered money
 Identify the reasons why criminals launder money
 Recognize the consequences of money
laundering
 Post 9/11 International Convergence on
prevention of money laundering
12:30 Know Your Customer Basics
 Define the KYC policy
 Identify the principal elements of the KYC policy
 Identify the risks of not implementing the KYC
policy
13:30 Lunch and Networking Break
14:30 Customer Profiling / Risk Profiling
 Objectives of customer identification in a KYC
policy
 the challenges for business in establishing
beneficial ownership
 Understand the typical higher risk and lower risk
customer profiles
 Recognize higher risk and lower risk customer
profiles
 Politically Exposed Person (PEP) Risk
 Nature and impact of blacklists
 Examples of high risk customers and AML
vulnerabilities
15:30 Networking and Short Tea Break
15:45 US Patriot Act, Dodd Frank and other
international regulations addressing AML
 Key aspects of US Patriot Act
 Recent international Money laundering cases
 UK Bribery Act
16:45 Compliance Culture and strengthening
Compliance Risk Management
 Robustness of compliance risk management
 Round the year AML trainings and awareness
 Staff accountability and disciplinary action
17:30 Open Forum / Q& A
18:00 End of Day One
9:15 Welcome Address
Guest speaker
10:00 Recognising and Reporting Suspicious Activities
 Recognize suspicious activities
 Red Flags for Money Laundering Activity
 Reporting requirements as per PMLA
 Increasing data quality and improving AML Analytics
11:30 Break and Refreshments
11:45 Designing an effective AML Framework – Banking
Perspective
 10 strategies to mitigate International Money
Laundering Risks
 How to build and maintain effective AML and
Sanctions controls
 Addressing AML in Institutes with multi country setup
 How Can Auditing AML activities strengthen AML
Compliance?
 Integrating FCPA and Anti Bribery frameworks in AML
strategies
13:30 Lunch and Networking Break
14:30 Use of AML Technology to detect money laundering
 Software demonstration of latest technologies
 Role and functions of such technologies in
compliance and operational risk management
 Best Practices to Improve AML Audit Processes
15:30 Networking and Short Tea Break
15:45 Designing an effective AML Framework – NBFC and
Insurance Perspective
 Third party product.
 Sale of products and addressing black money
 Strengthening regulation for Non Banking Institutes.
17:00 Whistle Blowing, Corporate Governance and Money
Laundering
 How to Integrate AML efforts whistle blowing
framework
 Strengthening corporate governance framework to
address Money Laundering and KYC violations
17:30 Open Forum / Q& A
18:00 End of Program
Day 1:- Emerging Challenges, implications and Introductions
Day 2:- Strategies to Combat AML and Terrorism
Pricing, Dates and Location
Chennai
Date TBD
Pricing
Rs 8,500 plus taxes
Location
Hotel Savera, 146, Dr.
Radhakrishnan Rd, Chennai
Ph : 044 - 2811 4700
Bangalore
Date July 18-19, 2013
Pricing
Rs 9,500 plus taxes
Location
TBD
Central District Hotel
Bangalore
Mumbai
Date July 10-11, 2013
Pricing
Rs 9,500 plus taxes
Location
The Mirador Hotel,
Opp Solitaire Park, Andheri
East, Mumbai
Delhi
Date Aug 20-21, 2013
Pricing
Rs 8,500 plus taxes
Location
TBD
Central District Hotel
Delhi
Contact
V. Murali
v.murali@riskpro.in
(+91-98845 57947)
R. Murali
murali@riskpro.in
(+91 – 95660 77326)
Contact
Casper Abraham
casper.abraham@riskpro.in
(+ 91- 9094070458)
Medha Kulkarni
medha.kulkarni@riskpro.in
(+91 – 99455 51326)
Contact
Manoj Jain
manoj.jain@riskpro.in
(+91-98337 67114)
Shriram Gokte
shriram.gokte@riskpro.in
(+91-98209 94063)
Contact
Rahul Bhan
Rahul.bhan@riskpro.in
(+ 91- 99680 05042)
Hemant Seigell
hemant.seigell@riskpro.in
(+91 – 99536 97905)
 All above prices are per participant.
 Service Tax extra as applicable
 Discounts: For four or more nominations from same organisation, discount of 10% of the program fee
 Nominations not refundable. Change of nomination permitted. Unused amount permitted to be carried forward.
 Prior registration and payment required
More information
Kindly Send nomination along with the payment / contact details (Participant Name, Contact Number, Designation, email id) any
of the above contact points.
PAYMENT DETAILS
Payments to be in the name of “Riskpro India Ventures Private Limited”
NEFT Details:
Beneficiary Name: Riskpro India Ventures Private Limited
Bank Name: HDFC Bank, MIDC – Andheri - Mumbai, India
Bank Account 14252560001055 (Current Account)
IFSC Code HDFC0001425 / MICR Code 400240126
PAN Number AAFCR5508L / SERVICE TAX NO AAFCR5508LSD001
About Riskpro
Riskpro India is a specialized Risk Management solutions and Risk consulting company. It is managed by experienced professionals with
experiences spanning various industries. We are one of the fastest growing risk consulting firms in India. For more details on Riskpro
India, Please visit www.riskpro.in
Some of Riskpro’s Training Clients

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Aml training

  • 1. Anti Money Laundering Practices “Are we doing enough to protect integrity of Indian financial sector?” July 10 – July 11 Mumbai: The Mirador Hotel, Andheri East July 18 – July 19, 2013 Bangalore August 20-August 21, 2013 Delhi June 6 - June 7, 2013 (Concluded) Chennai: Hotel Savera, RK Salai  Risk Management and Compliance Heads  Practicing professionals  Wealth Mangers, Broker Dealer Professionals  Business Heads, Operations Head  Branch Managers  Internal Auditors  External Consultants 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 Who should attend Our sponsorship programs are meant to grow your business and not shrink your bottom-line. Contact for more info: Manoj Jain +91 98337 67114 manoj.jain@riskpro.in Sponsorship Connect with your Customers For more information, visit www.riskpro.in/AMLtraining A Riskpro India Initiative
  • 2. Background on Anti Money Laundering Banks face growing costs to comply with AML requirements. 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 and efforts 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 Challenge The solution to the above challenge is 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. Overview and Summary The course provides participants the understanding of Anti Money Laundering, KYC and Combating Terrorism Financing. The conference provides participants with practical tools and methods required for implementation of the framework. This is an instructor led course designed to provide a practical understanding of the new global framework for risk management. In this two days intensive course, participants gain a complete understanding for implementing AML/KYC processes in their organization. Practical exercises and case studies help to better understand concepts and evaluation of multiple methods and techniques. Program Details and Agenda This conference focuses on current money laundering trends, recent case studies and lessons learned. It is an opportunity for legal, compliance, risk and Banking professionals to interact with industry experts, regulators and peers to address the key issue. “Are we doing enough to protect the integrity of the Indian financial system” See detailed Agenda on the next page. Training Methodology and Course Content This is an interactive conference that combines formal theoretical presentations, case studies and expert views.  Delegate Course Material includes full set of presentation slides  Delivery by Risk Management Experts with practical experiences  Additional Handouts based on exercised and recent news coverage  Completion certificate Training Objectives The goal of this course is to provide you an overview of the Anti Money Laundering developments, recent trends, challenges and other implications. The conference also addresses best practices and how to design effective AML frameworks. The training program is designed to ensure that participants can implement it in their organisation with minimal external consulting support. The following are the training objectives for the program:  Building a business case for Board and senior management approval  How to setup and implement the principles and framework within your organisation  Comprehensive review and understanding of the Risk Management process and systems specifically addressing AML/ KYC and CTF  Understand various risk identification and risk assessment techniques relating to AML
  • 3. 8:30 Registration 9:30 Welcome Address Guest speaker 10:00 Global emerging challenges in Money laundering efforts  Global perspective to AML  Latest developments in AML/KYC 10:45 What’s New and Recent Regulatory Developments in AML and FATF (Indian and International perspective)  Regional perspectives from the USA, UK and Asia on enforcement and the impact of money laundering.  Prevention of Money Laundering Act (PMLA)- Overview and Key Provisions  Recent developments in Indian regulations, PMLA updates  RBI Guidelines for KYC and AML  SEBI Guidelines for KYC and AML 11:30 Break and Refreshments 11:45 Introduction to Money Laundering  Define money laundering and terrorist financing  Identify the principal sources of laundered money  Identify the reasons why criminals launder money  Recognize the consequences of money laundering  Post 9/11 International Convergence on prevention of money laundering 12:30 Know Your Customer Basics  Define the KYC policy  Identify the principal elements of the KYC policy  Identify the risks of not implementing the KYC policy 13:30 Lunch and Networking Break 14:30 Customer Profiling / Risk Profiling  Objectives of customer identification in a KYC policy  the challenges for business in establishing beneficial ownership  Understand the typical higher risk and lower risk customer profiles  Recognize higher risk and lower risk customer profiles  Politically Exposed Person (PEP) Risk  Nature and impact of blacklists  Examples of high risk customers and AML vulnerabilities 15:30 Networking and Short Tea Break 15:45 US Patriot Act, Dodd Frank and other international regulations addressing AML  Key aspects of US Patriot Act  Recent international Money laundering cases  UK Bribery Act 16:45 Compliance Culture and strengthening Compliance Risk Management  Robustness of compliance risk management  Round the year AML trainings and awareness  Staff accountability and disciplinary action 17:30 Open Forum / Q& A 18:00 End of Day One 9:15 Welcome Address Guest speaker 10:00 Recognising and Reporting Suspicious Activities  Recognize suspicious activities  Red Flags for Money Laundering Activity  Reporting requirements as per PMLA  Increasing data quality and improving AML Analytics 11:30 Break and Refreshments 11:45 Designing an effective AML Framework – Banking Perspective  10 strategies to mitigate International Money Laundering Risks  How to build and maintain effective AML and Sanctions controls  Addressing AML in Institutes with multi country setup  How Can Auditing AML activities strengthen AML Compliance?  Integrating FCPA and Anti Bribery frameworks in AML strategies 13:30 Lunch and Networking Break 14:30 Use of AML Technology to detect money laundering  Software demonstration of latest technologies  Role and functions of such technologies in compliance and operational risk management  Best Practices to Improve AML Audit Processes 15:30 Networking and Short Tea Break 15:45 Designing an effective AML Framework – NBFC and Insurance Perspective  Third party product.  Sale of products and addressing black money  Strengthening regulation for Non Banking Institutes. 17:00 Whistle Blowing, Corporate Governance and Money Laundering  How to Integrate AML efforts whistle blowing framework  Strengthening corporate governance framework to address Money Laundering and KYC violations 17:30 Open Forum / Q& A 18:00 End of Program Day 1:- Emerging Challenges, implications and Introductions Day 2:- Strategies to Combat AML and Terrorism
  • 4. Pricing, Dates and Location Chennai Date TBD Pricing Rs 8,500 plus taxes Location Hotel Savera, 146, Dr. Radhakrishnan Rd, Chennai Ph : 044 - 2811 4700 Bangalore Date July 18-19, 2013 Pricing Rs 9,500 plus taxes Location TBD Central District Hotel Bangalore Mumbai Date July 10-11, 2013 Pricing Rs 9,500 plus taxes Location The Mirador Hotel, Opp Solitaire Park, Andheri East, Mumbai Delhi Date Aug 20-21, 2013 Pricing Rs 8,500 plus taxes Location TBD Central District Hotel Delhi Contact V. Murali v.murali@riskpro.in (+91-98845 57947) R. Murali murali@riskpro.in (+91 – 95660 77326) Contact Casper Abraham casper.abraham@riskpro.in (+ 91- 9094070458) Medha Kulkarni medha.kulkarni@riskpro.in (+91 – 99455 51326) Contact Manoj Jain manoj.jain@riskpro.in (+91-98337 67114) Shriram Gokte shriram.gokte@riskpro.in (+91-98209 94063) Contact Rahul Bhan Rahul.bhan@riskpro.in (+ 91- 99680 05042) Hemant Seigell hemant.seigell@riskpro.in (+91 – 99536 97905)  All above prices are per participant.  Service Tax extra as applicable  Discounts: For four or more nominations from same organisation, discount of 10% of the program fee  Nominations not refundable. Change of nomination permitted. Unused amount permitted to be carried forward.  Prior registration and payment required More information Kindly Send nomination along with the payment / contact details (Participant Name, Contact Number, Designation, email id) any of the above contact points. PAYMENT DETAILS Payments to be in the name of “Riskpro India Ventures Private Limited” NEFT Details: Beneficiary Name: Riskpro India Ventures Private Limited Bank Name: HDFC Bank, MIDC – Andheri - Mumbai, India Bank Account 14252560001055 (Current Account) IFSC Code HDFC0001425 / MICR Code 400240126 PAN Number AAFCR5508L / SERVICE TAX NO AAFCR5508LSD001 About Riskpro Riskpro India is a specialized Risk Management solutions and Risk consulting company. It is managed by experienced professionals with experiences spanning various industries. We are one of the fastest growing risk consulting firms in India. For more details on Riskpro India, Please visit www.riskpro.in Some of Riskpro’s Training Clients