5 th Annual ACAMS Kuala Lumpur Symposium 27 June 2018 Kuala Lumpur, Malaysia PARKROYAL Kuala Lumpur Jalan Sultan Ismail, Kuala Lumpur, Malaysia

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1 08:00 09:00 Registration and Morning Tea Annual ACAMS Country Conference / Symposium Series: Enhanced AML and Financial Crime Tools & Techniques 5 th Annual ACAMS Kuala Lumpur Symposium 27 June 2018 Kuala Lumpur, Malaysia PARKROYAL Kuala Lumpur Jalan Sultan Ismail, Kuala Lumpur, Malaysia 09:00 09:15 Welcome Remarks Hue Dang, CAMS-Audit, Head of Asia, ACAMS 09:15 10:30 Regulatory Update: Analyzing Regional AML Trends and New Developments Analyzing recent and upcoming regulatory changes impacting AML and compliance functions Understanding key concerns from regulators, including policy changes that may need to be reflected in AML policies and procedures Evaluating best practices requirements coming from the FATF process Hue Dang, CAMS-Audit, Head of Asia, ACAMS Shalini Pavithran, CEO, Malaysian Association of Money Services Business Suresh Soundarrajan, Director, Deloitte Forensic SEA, AML & Sanctions Advisory, Deloitte Malaysia 10:30 10:50 Networking and Refreshment Break 10:50 12:00 Insights into FinTech and RegTech Innovations that Will Impact Your Compliance Program Exploring the rewards, risks and unique AML challenges of banking FinTech businesses Monitoring shifts in FinTech regulations and technology to maintain a robust compliance program Examining RegTech solutions for monitoring the latest AML/CTF risks Speaker: Mohammad Ridzuan Abdul Aziz, CEO, Fintech Association of Malaysia 12:00 13:00 Networking Luncheon Page 1 of 7

2 13:00 14:00 Cybercrime: How It Happens, and How to Fight It Examining recent cybersecurity breaches to identify common attack points and strengthen digital defenses Developing an institutional response plan to ensure rapid responses to contain hacks and manage threats such as ransomware and Distributed Denial of Service Creating a post-hack action plan to notify affected stakeholders, restore data systems integrity and collaborate with law enforcement on investigations Sandeep Kothari, FCC Product Management, Standard Chartered Bank Mohd Zabri Adil Bin Talib, Head of Digital Forensics, CyberSecurity Malaysia 14:00 15:00 Applying the Latest Intelligence to Combat Trade-Based Money Laundering (TBML) Understanding TBML concepts and why they are important to know Discussing the fundamental TBML risk and walking through an illustration Discovering what are the TBML red flags and how do you adjust your Customer Due Diligence (CDD) and monitoring practices Aaron Lau, CAMS-Audit, Head of Fraud Investigation & AML, AITLAU Management Services Michelle Tsikirayi, Head of FCC, Standard Chartered Bank Malaysia 15:00 15:20 Networking and Refreshment Break 15:20 16:50 INTERACTIVE WORKSHOP: Strengthening Beneficial Ownership Determination Throughout Your Enterprise Understanding the emerging global standard around beneficial ownership transparency Analyzing differences in beneficial ownership standards throughout APAC to ensure compliance with all applicable regulations Detailing data privacy laws by country to identify any limitations on intra-institutional and crossborder information sharing David Cope, Managing Director and Head of Financial Crime Compliance, Goldman Sachs Asia LLC 16:50-17:00 Closing Remarks Hue Dang, CAMS-Audit, Head of Asia, ACAMS (Program is subject to change) Page 2 of 7

3 Speaker Faculty (Surname in Alphabetical Order) Mohammad Ridzuan Abdul Aziz CEO Fintech Association of Malaysia Mohammad Ridzuan Abdul Aziz has 20 years of commercially driven regulatory, compliance and technology experience in Malaysia and Asia-Pacific. He is currently the Chief Executive Officer of Sedania As Salam Capital Sdn Bhd, a patented financial technology (FinTech) solution provider that utilizes mobile airtime as one of the commodities for Islamic funding with over 23 financial institutions in Malaysia and also provides digital hub solution platform for banking middleware. Prior to this role, he co-founded RHT Compliance Solutions in 2013, the first and only integrated commercial outfit providing legal, governance and financial services regulatory compliance solutions for financial institutions in Malaysia, Singapore and Jakarta. Ridzuan actively provides business-oriented regulatory advice, solution and consultancy to banks, remittance companies, fund management entities, broker dealers (equity and derivatives) as well as sovereign wealth managers on regulatory requirements, compliance risks management, licensing, business viability and practical implementation of FinTech and regulatory technology (RegTech). In his spare time, Ridzuan trains secondary students in Malaysia and Singapore about financial literacy and basic living skills, including entrepreneurship. Ridzuan graduated from University of Wales, Aberystwyth in 1997 with BSc Economics, majoring in Accounting and Finance. He also obtained his MBA from the International Islamic University Malaysia in year David J. A. Cope Managing Director & Head of Financial Crime Compliance Goldman Sachs LLC Mr. Cope has over 25 years of experience in the financial crime and anti-money laundering space. Prior to joining Goldman Sachs, he was the Asia Pacific Head for Global Financial Crimes Compliance at Bank of America Merrill Lynch, previous to his time at Bank of America, he was the Regional AML/CTF Compliance Manager for Morgan Stanley Asia. Mr. Cope was also briefly a Partner at KPMG based in Hong Kong in the forensic practice dealing with AML/CTF and sanctions issues. Page 3 of 7

4 In his Compliance roles Mr. Cope led multinational teams dealing with all aspects of financial crime risk management, including client on boarding, sanctions and corruption issues, suspicious activity detection and reporting, and financial crime risk assessments, as well as providing advice and counsel to bank senior management and business leaders for financial crime issues arising in the region. Prior to joining the private sector, Mr. Cope s 17-year long career in the Hong Kong Police was mainly focused on the investigation and prosecuted serious complex financial crime and money-laundering, with postings to the Commercial Crime Bureau, Organized Crime and Triad Bureau and Narcotics Bureau. He was also part of the formulation and execution of the Hong Kong Police s financial investigation policy and training including dealing with the Financial Action Task Force Mutual Evaluation process. Mr. Cope is a Member of the Hong Kong Chapter Board. - Hue Dang, CAMS-Audit Head of Asia ACAMS Ms. Dang is the Head of Asia of ACAMS, having established its regional head office in Hong Kong in Ms. Dang has more than 20 years experience in banking and finance. Prior to ACAMS, she was a Bank Examiner at the Federal Reserve Bank of Boston, Manager with Barclays Capital s Investment Banking Division in Singapore, Director for Business Development at Citibank s Global Consumer Banking Group in Singapore and Director of Business Development, Asia/Pacific, for Thomson Financial in Hong Kong. Ms. Dang holds educational degrees from the US, with a Bachelor of Arts Degree with honors from Amherst College and a Master in Public Policy from Harvard University, John F. Kennedy School of Government. - Dr. William Scott Grob, CAMS AML Director APAC ACAMS Dr. Grob has over 25 years of financial and banking expertise. His most recent role was as Regional Head of Affiliates Management, HSBC, where he worked on mitigating financial crime and correspondent banking risks across Asia. His 12-year career at the bank also included managing risk within the Equity/FX prime brokerage business, Structured Funds business, and Hedge Fund units. Dr. Grob earned a Bachelor s degree from Boston University, a Master of Arts from George Mason University, a certificate from Harvard Business School s General Management Program, and a Doctorate of Management from SMC Page 4 of 7

5 University (USA), where his dissertation was focused on correspondent banking- IMPACT OF CORRESPONDENT BANK ENHANCED DUE DILIGENCE PRACTICES. Also, he has designations from the Chartered Alternative Investment Analyst (CAIA) Association, and Global Association of Risk Professionals (FRM). - Sandeep Kothari FCC Product Management Standard Chartered Bank Sandeep Kothari is an experienced finance industry professional currently working in Financial Crime Compliance at Standard Chartered Bank. He has worked with European and Australian financial organizations in Singapore and Europe leading their change transformation, risk and vendor management. Sandeep has led global software and vendor management portfolios shaping enterprise demand, go-to market approach, and industry-beating outperformance. He also led initiatives driving regulatory compliance, technology optimization, project office, governance and operational risk. Mr. Kothari has led teams for infrastructure control, regulatory risk assessment, and audit compliance across Asia Pacific. In his voluntary capacity, is Past President of Information Systems Audit Control Association (ISACA) Singapore and co-authored COBIT 4.0. Aaron Lau, CAMS-Audit Head of Fraud Investigation and AML AITLAU Management Services Aaron Lau is the principal consultant and director of AITLAU Management Services Sdn Bhd. He is heading the Financial Fraud Investigation and Anti-Money Laundering Compliance services in the firm. He is involved in consultancy and training in areas related to financial fraud and forensic accounting investigations, anti-money laundering, business intelligence and financial accounting. He is an accredited trainer for the Association of Certified Anti-Money Laundering Specialist (ACAMS) certification programme. He heads the ACAMS partnership with AITLAU Management Services Sdn Bhd in Malaysia. He has provided training services in the areas of financial fraud investigations, asset recovery, anti-money laundering and business intelligence to participants of government-related regulatory bodies like Securities Commission, Royal Malaysian Customs, Inland Revenue Board of Malaysia, Malaysian Anti-Corruption Commission, Joint organization between MACC-UNDP-INTERPOL Asset Recovery Workshops, Korean Customs and the Companies Commissioner of Page 5 of 7

6 Malaysia, both local and foreign financial institutions and corporations. Aaron has been lecturing for the advanced and executive certificate course for strategic management of anti-corruption programme in the area of anti-money laundering and effects of corruption since In 2015, he was accredited as an international bank s global trainer in Anti-Money Laundering and Sanctions. Aaron is also involved in financial fraud investigations for both local and foreign companies. He worked together with the Malaysian Anti-Corruption Commission to develop the financial fraud toolkits and investigation guidelines for private entities. Shalini Pavithran CEO Malaysian Association of Money Services Business Ms. Pavithran is the Chief Executive Officer of the Malaysian Association of Money Services Business (MAMSB) responsible in the overall management and administration of the Association in line with the strategic direction set by the MAMSB Council. She works closely with the Central Bank of Malaysia to promote the modernization, enhance the professionalism and support the development and growth of the MSB industry. MAMSB with the Group of Compliance Officers Committee have developed a rigorous mandatory certification process for industry Compliance Officers to enhance their competency and strengthen AML/CFT compliance across the industry. Prior to joining MAMSB, Ms. Pavithran had extensive experience in the banking and financial industry with about 20 years of banking experience, having served in organizations such as Hong Leong Bank and Alliance Bank. She played a key role in various areas including branch operations and management, branch development, banking operations, strategic planning, customer experience management, service quality, business process re-engineering, compliance, risk management, change management, training and development. Suresh Soundarrajan Director, Deloitte Forensic SEA, AML & Sanctions Advisory Deloitte Malaysia Mr. Soundarrajan is Director AML with Deloitte, Malaysia and has over 15 years experience in the field of financial crime risk compliance. His experience includes AML regulatory advisory, standard operating model implementations, process enhancements, AML shared services, training and strategy. He was previously a banker, relationship manager and was leading AML investigation teams for global banks. He has been the subject matter expert for various AML engagements and has supported clients globally on matters related to process gaps, AML risk assessments, regulatory Page 6 of 7

7 reporting and AML remediation. He was formerly a KYC champion and lead a team that helped clean up of the retail portfolio of a large global bank for its branches in India. Mohd Zabri Adil Bin Talib Head of Digital Forensics CyberSecurity Malaysia Zabri plays major role of ensuring the competent and efficient overall operations of CyberSecurity Malaysia (CSM) digital forensics services. As the Head of CSM Digital Forensics services, he has vast experiences in handling computer crimes, computer-related crimes forensics examination for various law enforcement agencies in Malaysia. This is also includes handling e- discovery cases for civil claim. Zabri has completed the digital evidence case investigation circle by testifying in Malaysia Intellectual Property Court, Magistrate Court, Session Court, High Court and Royal Commission of Inquiry including many high-profile cases. He is the ISC2 ISLA 2011 Managerial Professional for Information Security Project Showcased Honoree for Exemplary Leadership in and Dedication to Enhancing the Information Security Workforce. He is also an ASCLD/LAB certified Assessor. Michelle Tsikirayi Head of FCC Standard Chartered Bank Malaysia Michelle Tsikirayi is head of the Financial Crime Compliance team, Standard Chartered Malaysia managing the financial crime regulatory and compliance risks for the Bank and its subsidiary companies. She has extensive knowledge and experience in dealing with anti-money laundering, sanctions and anti-bribery regulations and laws. She is a UK qualified lawyer with knowledge in legal and compliance matters and her previous roles she has spent time in private practice, as in-house counsel and held senior positions in Compliance. She has worked in some countries in Europe, Africa, Middle East and now Asia. During her time in private practice, she specialized in Banking and Finance law working with innovative finance products across the world with a particular focus in Trade Finance. Page 7 of 7