IIF GLOBAL SEMINAR FINANCIAL CRIME RISK MANAGEMENT. April 20-21, 2016 London, United Kingdom IN COOPERATION WITH

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1 IIF GLOBAL SEMINAR FINANCIAL CRIME RISK MANAGEMENT April 20-21, 2016 London, United Kingdom IN COOPERATION WITH

2 COURSE DESCRIPTION IIF GLOBAL SEMINAR: FINANCIAL CRIME RISK MANAGEMENT LEARNING OBJECTIVES Effective financial crime risk management contributes to the overall reputational well-being of a firm and its customer bases, making it an essential practice for all financial institutions. Designed for senior managers and executives in financial services, this two-day Global Seminar will examine current and forward-looking elements of mitigating financial crime risks. Strategic leadership approaches and sound global practices for financial crime prevention will be a key focus. Sessions will be led by an impressive range of expert industry practitioners, with a strong emphasis on interactive, in-depth discussions. As this seminar will bring together senior professionals from around the globe, it will offer excellent opportunities for networking with global peers. Improve oversight and leadership approaches to financial crime prevention Consider upcoming global legal, regulatory and policy developments Explore sound controls, reporting structures, and compliance strategies Overcome financial crime challenges Discuss risk management trends with expert practitioners and global peers PLEASE JOIN US IN LONDON TO TAKE ADVANTAGE OF THIS UNIQUE OPPORTUNITY. IDEAL FOR PROFESSIONALS IN: Anti-Financial Crime & Fraud Anti-Money Laundering Anti-Bribery and Corruption Counter Terrorism Sanctions Politically Exposed Persons REGISTER AT IIF.COM/TRAINING Registration is open up to one week prior to program start date or until capacity is reached. Capacity limitations may force some programs to SEMINAR FACTS Date: April 20-21, 2016 Location: London Venue: Hilton London Bankside CPD/CE: 12 hours Program Fee: - Member Firm $2000 (USD) - Non-Member Firm $3000 (USD) This seminar will be eligible for CPD/CE credits through the Chartered Institute for Securities & Investment (CISI), the CFA Institute, the Global Association of Risk Professionals (GARP), the International Compliance Association (ICA) and the Chartered Banker. 2

3 WEDNESDAY APRIL 20 8:30 am 9:00 am REGISTRATION 9:00 am 9:15 am WELCOME AND INTRODUCTION Kate Hudson, Director of Global Training, IIF 9:15 am 10:30 am SESSION 1: PANEL DISCUSSION GLOBAL POLICY AND REGULATORY DEVELOPMENTS International, regional and national legal and regulatory developments in financial crime risk prevention; An in-depth view of emerging policy and regulatory risks and potential management and mitigation Moderator: Kate Hudson, IIF Jason Haines, Global Head (acting) External Relations, Global Financial Crime Compliance, HSBC John Barrass, Deputy Chief Executive, Wealth Management Association Brian Dilley, Group Director of Financial Crime Prevention, Lloyds Banking Group FATF (pending) 10:30am 11:00 am 11:00am 12:15 pm COFFEE BREAK SESSION 2: ENHANCING A GLOBAL ANTI FINANCIAL CRIME COMPLIANCE PROGRAM Effects of the increasing regulatory scrutiny on the policy development process; Understanding and managing the broad spectrum of financial crime risk in the rapidly evolving financial markets; The increasing use of data and technology and how it relates to the regulatory framework Matt Russell, Partner, Forensic Services, PwC Wilma Plieger, Head of Financial Economic Crime, ING Jonathan Stone, Global Head of Financial Crime Change, RBS Group 12:15 pm 1:15 pm LUNCH 1:15 pm 2:30 pm SESSION 3: INDIVIDUAL ACCOUNTABILITY AND GOVERNANCE RISKS 3 2:30 pm 3:00 pm COFFEE BREAK Emerging trends and risks for those responsible for financial crime; Governance; Leadership oversight; Ensuring adequate controls to protect yourself long-term Mehran Behvandi, Head of Compliance Advisory, RBS Legal 3:00 pm 5:00 pm SESSION 4: ENSURING BUSINESS CONTINUITY UNDER A CYBER ATTACK GAME OF THREATS (CYBER SIMULATION) Damage limitation strategies; Innovations in cyber security prevention; Ensuring your firm has adequate controls on an on-going basis; Interactive team group activity simulating a cyber attack Alex Petsopolous, Financial Services Cyber Security Lead, PwC 5:00 pm 6:30 pm NETWORKING RECEPTION 3

4 THURSDAY APRIL 21 9:00 am 10:15 am SESSION 5: WORKSHOP AND PANEL KEY INNOVATIVE PRODUCTS AND SERVICES IN FINANCIAL CRIME PREVENTION A focus on innovative financial crime prevention technology, products, and services David Choi, Partner, PwC Graham Ure, Partner, PwC 10:15 am 10:45 am COFFEE BREAK 10:45 am 12:00 pm SESSION 6: ONGOING AML AND KYC A STRATEGY FOR REMEDIATION 12:00 pm 1:00 pm LUNCH Snapshot of AML and KYC landscapes and key developments; Remediation resources and challenges ensuring the overwhelming impact on a firm is manageable; Approaches to technology Robert Walsh, Chief Financial Crime Officer & Deputy Chief Compliance Officer, AXA Group Imran Farooqi, Partner, PwC Joachim Von Haenisch, SWIFT 1:00 pm 1:45 pm SESSION 7: SANCTIONS SPOTLIGHT ON IRAN Considerations for a globally active firm; Facilitated group discussion Ben Luddington, Director, PwC 1:45 pm 2:45 pm SESSION 8: IMPLEMENTING A SOUND ABC STRATEGY WITHIN A FIRM 2:45 pm 3:15 pm COFFEE BREAK Overcoming obstacles to implementation; Strategy for corporate culture engaging the whole firm from senior management to customer facing staff Jon Watt, ABC Compliance Training & Programme Manager, Rolls-Royce plc 3:15 pm 4:15 pm SESSION 9: CASE STUDY POLITICALLY EXPOSED PERSONS What is considered a PEP during CDD/KYC processes, and what about de-pepping? How to deal with PEP involvement in customer relationships; How PEP involvement could influence your risk assessment; Q&A Wilma Plieger, Head of Financial Economic Crime, ING Allianz (pending) 4:15 pm 5:00 pm SESSION 10: SETTING THE RIGHT COMPLIANCE CULTURE Culture, integrity, ethics and behavior; Delivering the right culture within your firm to protect your firm and preserve your reputation Moderator: Kate Hudson, IIF Sian Jones, Head of Financial Crime, BlackRock UK 5:00 pm 5:15 pm CONCLUDING REMARKS 4

5 SPEAKER PROFILES Kate Hudson, Director, Global Training, Institute of International Finance Kate is the Director of IIF s Global Training team, and previously a Policy Adviser for IIF s Regulatory Affairs team. Prior, she was a senior manager at the RBS Group Holding Company and a member of the BBA s Committee for Financial Inclusion. There she authored eleven new conduct risk policies (including the UK s first ever corporate policy on dealing with customers in vulnerable situations ); and oversaw their implementation and training in their businesses (Coutts, Natwest, Citizens, M&IB etc). Contracting for ComPeer Ltd, on their project board she quantified the costs of compliance in the UK s wealth management industry. Serving the UK s WMA as Senior Policy Advisor, present on their Board she helped to secure their first early day motion in Parliament. Prior, a compliance planning officer for MMC, and here nominated a Future City Leader by the City of London Mayor s office. A compliance manager for ACE Ltd, and a conduct policy development executive for BUPA Group- and then member of UK s ILAG Regulatory Committee. Kate is a Mediator (DC Superior Court) and holds a Postgraduate Diploma in MSc Financial Regulation and Compliance Management at London Metropolitan University, and a L.L.B. in European Legal Studies from the University of Westminster. She is also fluent in Spanish. Jason Haines, Global Head (acting), External Relations, Global Financial Crime Compliance, HSBC Holdings PLC Jason is the Global Head (acting) in the Global Financial Crime Compliance (FCC), External Relations team at HSBC Holdings PLC. Jason currently represents HSBC on the British Bankers Association (BBA) Money Laundering Advisory Panel (MLAP), the BBA Anti-Corruption and Bribery Panel and the joint AFME/BBA Data Protection working group and in addition has represented HSBC in meetings with Government. In addition Jason participates in HSBC's membership of the Wolfsberg Group. Prior to joining HSBC in 2014, Jason held senior in-house compliance and advisory positions within the banking sector, including interim Head of AML/STF Corporate Banking Division, The Royal Bank of Scotland and Barclay's bank. Jason previously served on a House of Commons advisory group on financial services and was appointed as a special adviser to an international project relating to the assessment of AML/CTF standards in a number of overseas jurisdictions. Jason has held several academic appointments and guest lectureships at the Institute for Advanced Legal Studies, University of London, University of Cambridge and the University of Birmingham Business School. Jason has published widely on regulation and compliance aspects related to financial crime including a book on the regulation of electronic markets. Matthew Russell, Partner, PwC Matt Russell is a Director in PwC s London Forensic Services practice, specialising in the integration of financial crime investigation, detection and prevention activities within Financial Service clients, covering fraud, money laundering and market abuse. Matt leads PwC s Global Financial Crime Operational Effectiveness initiative. Previously, Matt was the Head of AML & Sanctions for the Barclays Retail Bank. He was responsible for a team of 70, including Policy, Financial Intelligence, Monitoring, Screening and Training resources. In this capacity he was responsible for the delivery of the UK Retailing aspects of the group-wide Sanctions and Politically Exposed Persons projects, mobilising the project teams to work on strategic and retrospective activities, as well as representing his Business Unit on senior project governance forums. Matt has also written numerous articles and internal guidance addressing a variety of AML issues, including co-authoring two chapters of A Practitioner s Guide to International Money Laundering Law and Regulation. 5

6 SPEAKER PROFILES Wilma Plieger, Head of Financial Economic Crime, ING Bank N.V. Wilma Plieger works at ING Bank N.V., based in Amsterdam. She is together with her team responsible for policy setting, advice and support, (global) regulatory reporting and requests, Functional oversight, monitoring as well as global training and awareness in the area of Financial Economic Crime (focusing on AML and sanctions). Her background is diverse, having worked previously for one of the Big 4 consultancy firms in various business environments and roles. Her experience lies in the areas of chemical compliance, interim- and project management within large national and international companies, and of course the Financial industry. Alex Petsopoulos, Partner, Cyber Security, PwC Alex is the Lead FS Partner in the UK Cyber Security practice. He has spent his entire career working in technology, with his last 11 years focused on information security. He has had the opportunity to work with many of the UK s most high profile organisations in the financial services, oil and gas, consumer business and media sectors. He has a successful track record of helping his clients transform the way they manage cyber risk as they seek to protect their sensitive data and critical national infrastructure. Alex has hands-on experience implementing a range of security solutions to help companies manage key threats and achieve compliance with various industry standards and regulations (e.g. NIST, ISO27001, PCI DSS, DPA, NERC CIPs, CPNI & FSA Guidance). His domain knowledge includes: Security strategy and operating models; Security investment planning and programme management; Cyber threat and vulnerability management; Information protection; Identity and access management; IT infrastructure security. Robert Walsh, Chief Financial Crime Officer & Deputy Chief Compliance Officer, AXA Group Bob Walsh has global responsibility for financial crime compliance at AXA. This includes AML, international sanctions and anti-bribery. In addition he is AXA Group s Deputy Chief Compliance Officer. Outside of AXA he chairs the Sanctions in Insurance Roundtable, which is an informal association of the world s largest insurers, reinsurers and brokers, who collaborate with senior public sector officials on the intersection of international sanctions issues and international commercial insurance. He has also participated as a private sector representative in FATF consultative meetings and the US Bank Secrecy Act Advisory Group. Bob is Canadian and was educated in Canada at McGill University, Osgoode Hall Law School and the Ivey School of Business. Imran Farooqi, Partner, Financial Services, PwC Imran is a Partner in PwC s London based Forensic Services practice, focused on Financial Services. Imran has 15 years of experience advising global private sector and financial institutions on matters of regulatory driven change. Imran joined PwC following a number of successful years with Deloitte where he advised a number of clients on their financial crime effectiveness and established a nearshore utility. Since joining PwC, Imran has specialised in the development and delivery of large scale financial crime and regulatory focused remediation exercises. 6

7 SPEAKER PROFILES Ben Luddington, Director UK, PwC Ben is a Director in PwC s London based Forensic Services practice and is the UK leader for financial sanctions. His recent work includes advising a global investment bank on how to prepare for regulatory inspection of its anti-financial crime framework. He is currently assisting a global bank review its payment processes to ensure that they are compliance with global sanctions regime. Jon Watt, Anti-Bribery & Corruption Training Manager, ABC Compliance, Rolls- Royce PLC Jon is responsible for both ABC Training and ABC Compliance Programmes at Rolls-Royce PLC. His focus is on raising awareness, understanding and application of Anti-Bribery & Corruption Policy across the company. This involves design and delivery of training following a complete review and overhaul of policy. Prior to joining Rolls-Royce in June 2014, Jon spent over 20 years in life insurance, investment and banking, primarily within new business, training and compliance related roles. Most recently he worked to develop and deliver management training related to Conduct Risk and Vulnerable Customers for The Royal Bank of Scotland. 7

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