ACAMS 6th Annual Beijing Seminar on “Enhanced AML and Financial Crime Tools & Techniques”
第六届中国北京《加强反洗钱/反金融犯罪实用工具和技巧》研讨会

  • When:
    9 November 2017
    日期:
    2017年11月9日
  • Where:
    Beijing, China
    地区:
    中国北京
  • Venue:
    Sheraton Grand Beijing Dongcheng Hotel
    36 North Third Ring Road East, Dong Cheng District, Beijing

    会场地点:
    北京金隅喜来登酒店
    北京市东城区安定门北三环东路36号

This targeted one-day seminar provides a forum for in-depth discussions covering key areas of AML compliance and financial crime prevention. Take advantage of the small group format and take away valuable tools and techniques to share with your team.

Our speaker faculty will share their expertise in a wide range of topics, including addressing regional compliance challenges, discussing the issues and opportunities and effective of financial/compliance technology, and an interactive workshop on strengthening beneficial ownership determination throughout your enterprise.

ACAMS 的全球系列研讨会以增强合规计划、强调实务技能分享而着称。小型研讨会的模式特别注重全体与会者的互动讨论。

今年的研讨会为期一天,我们的专家讲者将集中介绍近一年来国内当前监管关注的合规挑战、分析合规/金融科技带来的挑战和机遇,并以互动工作坊的形式探讨如何在企业范围内加强明确受益所有权。

Agenda-at-a-glance 主要议题

Simultaneous Translation between English & Mandarin Chinese will be provided
(提供英中同传翻译)

8:00 – 9:00

Registration and Morning Tea
登记和早茶

9:00 – 9:15

Welcome Remarks
欢迎词

Hue Dang, CAMS-Audit, Head of Asia, ACAMS
公认反洗钱师协会 亚太区执行长 邓芳慧女士 (CAMS-Audit)

9:15 – 10:45

Regulatory Update: Analyzing Regional AML Trends and New Developments
法规最新进展:分析地区反洗钱监管趋势与最新动向

  • Updating on the current changes in China and Taiwan’s AML regulatory frameworks
    介绍当前大陆和台湾反洗钱监管框架的改变
  • Preparing for the Impact of the 4th-Round of FATF Mutual Evaluations on Your AML Program
    就第四轮 FATF(金融行动特别工作组)互评对反洗钱制度的影响做好准备
  • Discussing recent initiatives in public-private partnerships on fighting financial crime, such as Fraud and Money Laundering Intelligence Taskforce (FMLIT) in Hong Kong, Anti-Money Laundering and Countering the Financing of Terrorism Industry Partnership (ACIP) in Singapore
    讨论公共部门及私营机构在打击金融犯罪方面的最新合作计划,如香港反欺诈及反洗钱情报工作组 (FMLIT)、新加坡反洗钱与反恐融资行业合作伙伴关系 (ACIP) 等
  • Reviewing recent AML-related enforcement actions in the APAC region to identify and mitigate regulatory risks such as PEP exposure and deficient systems
    回顾亚太地区近期反洗钱相关执法活动,识别和降低相关监管风险,如政治公众人物风险、系统不完备风险等
  • Detailing recent global shifts in sanctions regimes compliance to adjust oversight models as warranted
    详细讨论全球制裁制度合规方面的最近变化,以采取或调整监管模式
  • Refreshing strategies in Countering-Terrorism Financing
    最新反恐融资策略更新

Speaker 讲者:
Rosalind Lazar, CAMS,Country Head of Financial Crimes Risk for Singapore, Standard Chartered Bank

10:45 – 11:05

Networking and Refreshment Break
交流和茶歇

11:05 – 12:15

Cybercrime: How It Happens, and How to Fight It
网络犯罪:原理与对策

  • Examining recent cybersecurity breaches to identify common attack points and strengthen digital defenses
    分析最近发现的网络安全漏洞事件,明确常见的攻击点,加强数字化防御
  • Developing an institutional response plan to ensure rapid responses to contain hacks and manage threats such as ransomware and Distributed Denial of Service
    制定制度性响应计划,确保快速响应,从而遏制黑客攻击,管理好勒索软件、分布式拒绝服务攻击等风险
  • Creating a post-hack action plan to notify affected stakeholders, restore data systems integrity and collaborate with law enforcement on investigations
    制定黑客攻击后行动计划,通知受影响的利益攸关者,恢复数据系统完整性,协助执法部门展开调查

Speakers 讲者:
Sandeep Kothari, FCC Product Management, Standard Chartered Bank
Meizi Men, Chief Researcher, Tencent Cyber Crime Research Center
腾讯网络犯罪研究中心 首席研究员 门美子

12:15 – 13:30

Networking Luncheon
交流和午膳

13:30 – 14:30

The Innovators Dilemma: Mastering Issues and Opportunities of FinTech/RegTech
创新者困境:了解金融科技/监管科技的问题,把握其机遇

  • Analyzing specific KYC/CDD and monitoring challenges of Fintech to ensure compliance systems reflect its unique risks
    分析金融科技在“了解您的客户/客户尽职调查”(KYC/CDD) 和监控方面所面临的挑战,确保合规制度能反映其独有的风险
  • Delineating capacity of RegTech to complement traditional AML in areas such as transaction monitoring, sanctions screening and fraud detection
    介绍监管科技在交易监控、制裁筛查和欺诈识别等领域对传统反洗钱制度起到的补充作用
  • Auditing artificial intelligence systems to protect against algorithmic bias and ensure data integrity
    审查人工智能系统,防范演算法偏差,确保数据完整性

Speakers讲者:
Joyce Hsu, CAMS-FCI, AML Director – North Asia, ACAMS
公认反洗钱师协会 反洗钱合规策略总监 许胧方 (CAMS-FCI)
Zheng Lu, Chief Compliance Officer, Circle China
世可中国公司 首席合规官 鲁政

Moderator 主持人:
Lynn Na Li, CAMS, Executive Director of Fraud Investigation and Dispute Services, Ernst & Young (China) Advisory Limited
安永(中国) 审计及法证调查服务执行总监 李娜 (CAMS)

14:30 – 15:00

INTERACTIVE WORKSHOP
互动工作坊

Speakers 讲者: 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 主持人:
Hue Dang, CAMS-Audit, Head of Asia, ACAMS
公认反洗钱师协会 亚太区执行长 邓芳慧 (CAMS-Audit)

Part I: Strengthening Beneficial Ownership Determination Throughout Your Enterprise
第一部分:在整个企业范围内加强明确受益所有权

  • Creating risk-based beneficial ownership practices based on ownership thresholds, entity structure and nature of account
    基于所有权阈值、实体结构和账户性质,制定基于风险的受益所有权制度
  • Formalizing CIP documentation and verification requirements and defining triggering events such as ownership shifts for initiating account reviews
    制定客户身份识别制度 (CIP) 文档和验证要求,确定用于发起账户审核的触发事件(如所有权转移)

15:00 – 15:20

Networking and Refreshment Break
交流和茶歇

15:20 – 16:50

Part II: Strengthening Beneficial Ownership Determination Throughout Your Enterprise
第二部分:在整个企业范围内加强明确受益所有权

  • Identifying required IT resources and professional skills to construct effective beneficial ownership workflow systems
    明确构建有效的受益所有权工作流程系统所需要的 IT 资源和专业技能
  • Socializing procedures across enterprise with training specific to job function and product line and incentives such as beneficial ownership line items in annual reviews
    在整个企业范围内宣传相关程序,提供针对具体职能和产品线的培训课程,明确激励措施,比如在年度考核中列入受益所有权项目

16:50 – 17:00

Closing Remarks
结束语
Hue Dang, CAMS-Audit, Head of Asia, ACAMS
公认反洗钱师协会 亚太区执行长 邓芳慧女士 (CAMS-Audit)

Pricing 价钱

ACAMS Members (ACAMS会员) Non-Members (非会员)
$450 (美金 $450) $495 (美金 $495)
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Download Agenda 取得会议议程

Please complete the above form in English. 注:以上表格请以英文填写


Sponsors & Exhibitors 赞助商及参展商

Exhibitor 参展商

Beijing Info Science & Tech Co., Ltd
北京银丰新融科技开发有限公司


Speaker Faculty 讲者

David Cope
  • David J. A. Cope

  • Managing Director & Head of Financial Crime Compliance
  • Goldman Sachs Asia LLC

Bio

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.

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 | 邓芳慧 (CAMS-Audit)

  • Head of Asia | 亚太区执行长
  • ACAMS | 公认反洗钱师协会 (ACAMS)

Bio | 简介

Ms. Dang is the Head of Asia of ACAMS, having established its regional head office in Hong Kong in 2008. 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.

邓芳慧女士供职于公认反洗钱师协会 (ACAMS),于2008年设立协会亚太区总部 (位于香港)并担任亚太区执行长。邓芳慧女士在金融业有超过二十年的经验,曾担波士顿美国联邦银行 (Federal Reserve Bank) 审查官、新加坡巴克莱资本投资银行 (Barclays Capital’s Investment Banking) 经理、新加坡花旗全球消费者银行 (Citibank’s Global Consumer Banking Group) 业务发展总裁和香港汤姆森金融公司 (Thomson Financial) 亚太区业务发展总裁。邓女士在美国安默斯特学院 (Amherst College) 获荣誉文学士学位毕业,亦为美国哈佛大学约翰.肯尼迪政府学院的公共政策硕士。


Joyce-Hsu
  • Joyce Hsu, CAMS-FCI | 许胧方 (CAMS-FCI)

  • AML Director – North Asia | 反洗钱合规策略总监
  • ACAMS | 公认反洗钱师协会 (ACAMS)

Bio | 简介

Ms. Hsu has over 20 years’ experience in the banking industry and joined ACAMS as a subject-matter expert in 2017, with the primary responsibility of developing and executing a strategy in AML/CFT training and knowledge-sharing with a focus in the Mandarin Chinese language. Previously, she was in charge of security and investigation service for Citi Taiwan. Her previous experience includes 5 years being responsible for providing Financial Crime and Operational Risk Management solutions for a leading Consulting firm with a particular expertise in AML and Operational Risk Management. Her expertise is focused on financial crime management and investigation. Various roles included progressing from being a front line operator, sales to senior manager of a headquartered-operation center with further progression into a risk manager role. Some accomplishments included: building up Anti-Money Laundering, Anti-Fraud Management for tier one banks in China; designing and implementing ORM tools and systems for an entire bank; and leading a team to develop the banking operation management capability for one of the largest banks in China.

许小姐拥有逾20年银行从业经验。她于2017年加入公认反洗钱师协会 (ACAMS),为协会的反洗钱合规策略总监,主要负责反洗钱和反恐融资活动相关议题的培训及知识共享策略的制定和执行,尤其是对以华语为主要语言的大中华区。此前,她曾任职于花旗银行(台湾),主管安全和调查服务部门。许小姐在防范金融犯罪和风险管理领域拥有尤为丰富的从业经验,曾连续5年负责为一家全球领先的顾问公司提供金融犯罪和风险管理解决方案。她擅长金融犯罪管理和调查。许小姐在银行任职期间曾担任多种职位,从基层客服、销售,到总部运营中心和风险管理。她的成就包括:辅导中国多家第一级银行建立反洗钱和反欺诈管理机制、为中国四大行之一设计反洗钱及合规体系,为四大行之一设计规划全面风险管理体系,以及带领团队为一家中国超大型银行打造银行集中运营管理机制及流程。


Sandeep Kothari
  • Sandeep Kothari

  • FCC Product Management
  • Standard Chartered Bank

Bio

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.


Rosalind Lazar
  • Rosalind Lazar, CAMS

  • Country Head of Financial Crimes Risk for Singapore
  • Standard Chartered Bank

Bio

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 2005. 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, Ros 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.


Lynn Na Li
  • Lynn Na Li, CAMS | 李娜, CAMS

  • Executive Director of Fraud Investigation and Dispute Services | 审计及法证调查服务执行总监
  • Ernst & Young (China) Advisory Limited | 安永(中国)

Bio | 简介

Ms. Li accumulated over 18 years’ experience in financial industry with ample knowledge in operational risks, ethics, compliance, and experience in middle and back offices. With over 13 years of her career in Financial Crime Compliance, her experience covers a wide range of sections including Anti-Money Laundering, Sanction, Anti-Bribery and Anti-Corruption, etc. She has deep understanding of AML and Sanctions processes and procedures, the China regulatory landscape as well as the regulators’ expectations in Mainland China, Hong Kong, US and Japan.

Ms. Li holds an MBA from Chinese University of Electronics, Science and Technology. During her banking experience, Ms. Li took the responsibility to conduct the first round of FATF Mutual Evaluation representing the bank she worked in 2006. She was involved in great amount of translation of stipulations and was appointed to compose and revise many AML laws and regulations. In 2008 Ms. Li leading her team, assisted The People’s Bank of China to compose the basic framework of the book “Anti-Money Laundering: Global Experience and Reference”, and was responsible for the composition of “The Section of Japan”. She was awarded as “Remarkable Individual of AML” by PBOC each year since 2008 to 2015. In 2014, she led her team to win the title of “Remarkable Institution of AML”. In 2016, as a representative of her bank, Li Na was elected to be the deputy team leader of AML Professional Group in Shanghai Banking Association. In 2017, Li Na was invited to join the AML Professional Group, organized by PBOC Shanghai Branch, as a critical group member. At present, the IRA standards and procedures of the security section are completed by the team.

As a senior professional expert in the industry, Li Na was frequently invited by PBOC, China Banking Association and other organizations to give lectures. In 2017, as an extraordinary global member of ACAMS, she and her experience was depicted in the special edition of ACAMS’s magazine.

李女士在金融行业拥有超过18年的从业经验,对于操作风险、职业操守与合规拥有丰富的知识以及中后台的操作实践经验。其中,李女士在金融犯罪合规领域拥有超过13年的职业经验,广泛涵盖了反洗钱、制裁以及反贿赂腐败等多个领域,对中国的监管环境以及中国大陆、香港、台湾、美国和日本等地的监管要求有着深刻的理解。

李女士在中国电子科技大学取得工商管理硕士学位。在李女士的银行从业经历中,她曾在2006年代表所在银行负责承接第一轮FATF中国互评估工作。她曾经参与了大量法规翻译和修订工作,并应邀负责负责制定多项反洗钱法律与法规。2008年,她被人民银行任命为反洗钱高级专家,同时带领团队队协助中国人民银行构建了《反洗钱国际经验与借鉴》著书框架,并负责其中日本篇的撰写。从2008年至2015年,李女士每年均荣获人民银行“反洗钱先进个人”称号,2014年更带领所在机构获得人民银行“反洗钱先进机构”称号。2016年,李女士代表所在机构被选举为上海银行业同业工会反洗钱工作小组副组长。2017年,李女士应人民银行邀请加入反洗钱专家工作组,成为核心成员。目前,小组已经完成了上海地区证券业的机构风险评估标准及流程的制定。

作为业界资深专家,李女士经常被人民银行、银行业协会以及其他组织、机构,邀请发表演讲或给予培训。2017年,李女士作为ACAMS的杰出会员,其事迹被ACAM的会员杂志专刊刊登。


  • Zheng Lu | 鲁政

  • Chief Compliance Officer | 首席合规官
  • Circle China | 世可中国公司

Bio | 简介

Mr. Zheng Lu has been the chief compliance officer of Circle China since July 2016. He has been engaging in innovative applications and compliance management related to block chain and FinTech. He has over 14 years of experience in anti-money laundering legislation, policy making and regulatory practice. He has served as a director of the Anti-Money Laundering Bureau of the People’s Bank of China. Mr.Lu participated in drafting the Anti-Money Laundering Law and relevant anti-money laundering regulations, establishing of the anti-money laundering on-site inspection procedures and risk assessment method, organizing the on-site inspection of various large financial institutions, developing the FATF international standards.

鲁政于2016年7月至今担任世可中国公司首席合规官,从事区块链、金融科技相关的创新应用、合规管理工作。鲁政有超过14年的反洗钱立法、政策研究和监管实务经验,曾任中国人民银行反洗钱局处长,曾参与起草《反洗钱法》、反洗钱规章和反洗钱监管政策,制定反洗钱现场检查程序和风险评估标准,组织对各类金融机构的现场检查,讨论制定FATF反洗钱国际标准。


Meizi Men
  • Meizi Men | 门美子

  • Chief Researcher | 首席研究员
  • Tencent Cyber Crime Research Center | 腾讯网络犯罪研究中心

Bio | 简介

Meizi Men is the chief researcher of Tencent Cyber Crime Research Center. She is engaged in the research,prevention and control of cybercrime. She served as a prosecutor for 10 years and has a good reputation for the experiences and performances of handling a series of case related to cybercrime and financial crime. As a member of Tencent security management team, Ms. Men has participated in a series of work against hacker attack, internet fraud and internet dark industry. She has also focused on research and development of legal solution with regard to anti-cybercrime and has been experienced in discovery and resistance of money laundering for cybercrime.

门美子,担任腾讯网路犯罪研究中心首席研究员,从事网络犯罪的研究与防控治理工作。曾有十年的检察官工作经历,凭借办理包括网络犯罪、金融犯罪在内的一系列犯罪案件的经验和表现,获得业内殊荣。作为腾讯安全管理团队的一员,参与一系列针对黑客攻击、网络诈骗、互联网黑色产业的打击工作,并致力于网络犯罪法律抗制解决方案的研发,在网络犯罪洗钱活动的发现与抗制方面,亦有研究经验及成果。