9:15 10:45 Regulatory Update: Analyzing Regional AML Trends and New Developments

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Wendy Harvey
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1 8:00 9:00 Registration and Morning Tea 9 th Annual ACAMS Seminar Series Enhanced AML and Financial Crime Tools and Techniques 23 October 2017 Hong Kong Kerry Hotel 38 Hung Luen Road, Hung Hom Kowloon, Hong Kong 9:00 9:15 Welcome Remarks Hue Dang, CAMS-Audit, Head of Asia, ACAMS 9:15 10:45 Regulatory Update: Analyzing Regional AML Trends and New Developments Discussing recent initiatives in public-private partnerships on fighting financial crime, such as the Fraud and Money Laundering Intelligence Taskforce in Hong Kong Reviewing recent AML-related enforcement actions in the APAC region to identify and mitigate regulatory risks such as PEP exposure and deficient systems Detailing recent global shifts in sanctions regimes compliance to adjust oversight models as warranted Refreshing strategies in Countering-Terrorism Financing Rosalind Lazar, CAMS,Country Head of Financial Crimes Risk for Singapore, Standard Chartered Bank Stewart McGlynn, CAMS, Head of AML & Financial Crime Risk, Hong Kong Monetary Authority 10:45-11:05 Networking and Refreshment Break 11:05-12:15 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 Dmitri Hubbard, General Counsel, Blue Dragon Asia Sandeep Kothari, FCC Product Management, Standard Chartered Bank 12:15-13:30 Networking Luncheon Page 1 of 7

2 13:30-14:30 The Innovators Dilemma: Mastering Issues and Opportunities of FinTech/RegTech Analyzing specific KYC/CDD and monitoring challenges of FinTech to ensure compliance systems reflect its unique risks Delineating capacity of RegTech to complement traditional AML in areas such as transaction monitoring, sanctions screening and fraud detection Auditing artificial intelligence systems to protect against algorithmic bias and ensure data integrity John Karantzis, CEO, isignthis William Scott Grob, CAMS, D.Mgt., CAIA, FRM, Regional Head of Affiliates Management, HSBC 14:30-15:00 INTERACTIVE WORKSHOP David Cope, Managing Director and Head of Financial Crime Compliance, Goldman Sachs Asia LLC Rosalind Lazar, CAMS, Country Head of Financial Crimes Risk for Singapore, Standard Chartered Bank Moderator: Hue Dang, CAMS-Audit, Head of Asia, ACAMS Part I: Strengthening Beneficial Ownership Determination Throughout Your Enterprise Creating risk-based beneficial ownership practices based on ownership thresholds, entity structure and nature of account Formalizing CIP documentation and verification requirements and defining triggering events such as ownership shifts for initiating account reviews 15:00-15:20 Networking and Refreshment Break 15:20-16:50 Part II: Strengthening Beneficial Ownership Determination Throughout Your Enterprise Identifying required IT resources and professional skills to construct effective beneficial ownership workflow systems Socializing procedures across enterprise with training specific to job function and product line and incentives such as beneficial ownership line items in annual reviews 16:50-17:00 Closing Remarks Hue Dang, CAMS-Audit, Head of Asia, ACAMS Page 2 of 7

In addition to supervision of the HKMA s AML/CFT specialist on-site examination teams, Mr.

3 SPEAKER FACULTY Stewart McGlynn, CAMS Head of AML & Financial Crime Risk Hong Kong Monetary Authority Mr. Stewart McGlynn is a Division Head with the Hong Kong Monetary Authority, responsible for anti-money laundering and financial crime risk. In addition to supervision of the HKMA s AML/CFT specialist on-site examination teams, Mr. McGlynn also oversees AML/CFT policy development and represents the HKMA in a variety of AML forums including the Financial Action Task Force and the Basel Committee's Anti-Money Laundering Expert Group. Prior to joining the HKMA Mr. McGlynn served as a Police Officer for over 20 years in both the UK and Hong Kong, with his last post being the deputy head of the Hong Kong Joint Financial Intelligence Unit. 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. 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. Page 3 of 7

Bureau, Organized Crime and Triad Bureau and Narcotics Bureau.

4 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 moneylaundering, 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. William Scott Grob, CAMS, D.Mgt., CAIA, FRM Regional Head of Affiliates Management HSBC William Grob has over 25 years of financial and banking expertise, most recently with The Hong Kong Shanghai Banking Corporation mitigating financial crime and correspondent banking risks across Asia. Additionally, he managed risk within the Equity/FX prime brokerage business, Structured Funds business, and Hedge Fund units. Page 4 of 7

Mr. 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

5 Mr. 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 candidate from SMC University. Also, he has designations from the Chartered Alternative Investment Analyst (CAIA) Association, Global Association of Risk Professionals (FRM), and Certified Anti-Money Laundering Specialist (CAMS). Dmitri Hubbard General Counsel Blue Dragon Asia Based in Hong Kong since 2002, Dmitri consults on a wide range of contentious legal problems which arise at the intersection of law and technology. Mr. Hubbard uses his experience in managing over 200 investigations since 2009 in Asia to preach about best practice and responding to crises. His focus is on internal and regulatory investigations, international and Asian litigation, cyber security and data privacy compliance scenarios across Asia-Pacific. He works closely with large law firms and General Counsel for matters which have a Hong Kong or Asian dimension. Mr. Hubbard specializes in advising clients on regulatory and litigation matters involving data privacy concerns, forensic investigative needs, cyber breach, electronic discovery, data mapping, evidence management, document review and analysis. Since in Asia, Mr. Hubbard has held Regional Management Roles at LexisNexis, Epiq Systems, Control Risks Group, Xerox, Conduent, and Blue Dragon Asia. He has been an adjunct lecturer / professional consultant at the three HK University Law schools (HK University, Chinese University & City University). Mr. Hubbard is a qualified Barrister and Solicitor of the High Court of New Zealand. He holds a Bachelor of Laws, a Master of Laws (focusing on international commercial law) and a Bachelor of Arts in English Literature and Economics from Victoria University of Wellington. He holds a Diploma in International Trade and Shipping Law from London Guildhall University, and has done the HK SFC licensing exams for securities dealing, derivatives dealing, corporate finance and financial markets. He frequently presents at industry seminars, professional associations and regional conferences across Asia. He has written several books and articles on HK and Asian data privacy, cyber security, ediscovery, law of evidence, employment and contract law. Page 5 of 7

Karantzis holds qualifications in engineering (University of Western Australia), law, and business (University of Melbourne), with a broad understanding of international regulatory regimes as they

6 John Karantzis CEO and Managing Director isignthis Ltd (ASX : ISX) Mr. Karantzis is the founder and Managing Director/CEO of Australian Securities Exchange listed isignthis Ltd (ASX : ISX). Mr. Karantzis holds qualifications in engineering (University of Western Australia), law, and business (University of Melbourne), with a broad understanding of international regulatory regimes as they relate to payments, money laundering and identity. Mr. Karantzis has over 20 years' experience across a number of sectors including payments, online media, AML, defence and secure communications. In particular, his experience includes application of technology to assist with remote enhanced due diligence, across a number of FATF legislative model jurisdictions. Areas of relevant expertise include the identity verification requirements for EU regulatory regimes including eidas, 4AMLD, and the UK s JMLSG, CySec and Australian AML. Mr. Karantzis has previously been Managing Director/CEO of Australian Securities Exchange publicly traded ReelTime Media Ltd (ASX : RMA) and Director/CEO of Data & Commerce Ltd (ASX : PNW). 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. Page 6 of 7

Sandeep has led global software and vendor management portfolios shaping enterprise demand, goto market approach, and industry-beating outperformance.

7 Sandeep has led global software and vendor management portfolios shaping enterprise demand, goto 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. Rosalind Lazar, CAMS Country Head of Financial Crimes Risk for Singapore Standard Chartered Bank A former Deputy Public Prosecutor with the Commercial Affairs Department (CAD), Ministry of Finance, Singapore, and Litigation Partner with Drew & Napier, Ms. Lazar joined the Financial Sector in She started with Citi Private Bank (CPB) as a member of the Global AML Team, and was responsible for the review and development of globally consistent CPB AML policies. Her role subsequently became regional to include oversight of Consumer and Corporate Banking. Her responsibilities included Regional APAC AML policy development, governance / reporting and training. In 2010, Ms. Lazar joined Citi s Internal Audit. As part of the CPB-Asia team in November 2010, she has audited various controls and processes of private banking, as well as the trust and brokerage brokerage, with special focus on AML/CTF controls. She returned to her former AML role when she joined Standard Chartered in November 2013 as Country Head of Financial Crimes Risk for Singapore. Ms. Lazar holds a Masters in Law from Columbia School of Law, New York. Page 7 of 7

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

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