3rd Annual Enhanced AML and Financial Crime Tools and Techniques – Shanghai, China
第三届中国上海《加强反洗钱/反金融犯罪实用工具和技巧》研讨会

  • Date: 15 June 2017
    日期: 2017年6月15日
  • Where: Shanghai, China
    地区: 中国上海
  • Venue: Hilton Shanghai
    No. 250 Hua Shan Road,
    Shanghai, China

    会场地点: 上海希尔顿酒店
    中国上海市华山路250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, effective sanctions management, and an interactive workshop on implementing risk assessment processes.

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、制裁管理方面的议题,并以互动工作坊的形式探讨风险为本的反洗钱合规制度。

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 – 9:10

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)

9:10 – 10:40

Regulatory Update: Compliance Strategies for New Rules and Guidance
法规最新进展:针对最新规则和指南的合规策略


Speakers 讲者:
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)
David James, HMRC Fiscal Crime Liaison Officer, British High Commission (Singapore)

10:40 – 11:00

Networking and Refreshment Break
交流和茶歇

11:00 – 12:15

Optimizing Know Your Customer (KYC) Practices and Meeting Regulatory Expectations
优化了解您的客户 (Know Your Customer, KYC) 举措和满足监管要求


Speakers 讲者:
LI Xiaojie, CAMS-Audit, Director, Ant Financial Services Group
蚂蚁金融服务集团 总监 李小杰女士 (CAMS-Audit)
Elaine Tong, Supervisory Money Laundering Reporting Officer (MLRO), Asia, Bank of Montreal
蒙特利尔银行 亚洲区反洗钱监控总监 佟妍女士

12:15 – 13:40

Networking Luncheon for all Participants
交流和午餐

13:40 – 14:50

Reviewing Key Lessons from Recent Global AML Regulatory Actions
回顾近期全球反洗钱监管行动的经验


Speakers 讲者:
Anna Tsai, CAMS, Former Head of Legal and Compliance, CTBC Bank
Richard Moore, Former Managing Director & Group Head – Financial Crime and Security Services, DBS

14:50 – 15:30

SANCTIONS WORKSHOP
制裁工作坊

Part I: Strengthening Compliance Oversight with a Risk-Based Approach
第一部分:借助风险为本的方法加强合规监管


Speakers 讲者:
Nicholas Turner, CAMS, Attorney – FCC Practice, Clifford Chance

15:30 – 15:50

Networking and Refreshment Break
交流和茶歇

15:50 – 16:50

SANCTIONS WORKSHOP
制裁工作坊

Part II: Strengthening Compliance Oversight with a Risk-Based Approach
第二部分:借助风险为本的方法加强合规监管


Speakers 讲者:
Nicholas Turner, CAMS, Attorney – FCC Practice, Clifford Chance

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)
$425 (美金 $425) $495 (美金 $495)
Register Now 按此登记 Join ACAMS 加入ACAMS

Download Agenda 取得会议议程


Exhibitor参展商

安永会计师事务所 Ernst & Young

Ernst & Young

SPEAKER FACULTY 讲者简介

  • 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。


David James
  • David James

  • HMRC Fiscal Crime Liaison Officer
  • British High Commission (Singapore)

Bio

Mr. James is Her Majesty Royal Customs (HMRC) Asia Pacific Lead on Tax Evasion and Money Laundering, based in Singapore. He is a Tax Inspector by trade with 14 years’ experience of dealing with serious fraud and tax avoidance. He has investigated and led teams of investigators in all types of HMRC intervention involving both criminal and civil responses to tax fraud. In July 2014, Mr. James was posted to Singapore with a focus on combating offshore tax evasion and money laundering in Singapore and the wider Asia Pacific region.


LI Xiaojie
  • LI Xiaojie, CAMS-Audit | 李小杰 (CAMS-Audit)

  • Director | 总监
  • Ant Financial Services Group | 蚂蚁金融服务集团

Bio | 简介

Ms. LI Xiaojie is the Director of Anti-money laundering Center of Ant Financial Services Group (“Ant Financial”). Ant Financial runs Alipay, Ant Fortune, Ant Financial Cloud and other financial services. Ant Financial’s invested companies and affiliates also work with these businesses units and support Ant Financial’s ecosystem. The services provided by Ant Financial and its affiliates cover payment, wealth management, credit reporting, private bank and cloud computing.

Ms. Li has more than 13 years’ experience in anti-money laundry risk management that relate to banking, financing and electronic payment. Previously, she was a Manager with Export Credit Division, Head of Anti-Money Laundry Division of ICBC Head Office. Ms. Li is appointed as a visiting professor at the People’s Bank of China, Zhengzhou Training Institute and the researcher of China Centre for Anti-Money Laundering Studies FuDan University.

Ms. Li was graduated with bachelor of engineering degrees from Wuhan University of Technology, Master degree of professional accounting and Master degree of finance in the UNSW Australia. In addition, she got CDCS (Certified Documentary Credit Specialist) and CPA Australia.

李小杰女士供职于蚂蚁金融服务集团反洗钱中心。蚂蚁金服团旗下及相关业务包括生活服务平台支付宝、智慧理财平台蚂蚁聚宝、云计算服务平台蚂蚁金融云、独立第三方信用评价体系芝麻信用以及网商银行等。另外,蚂蚁金服也与投资控股的公司及关联公司一起,在业务和服务层面通力合作,深度整合共推商业生态系统的繁荣。

李小杰女士具备超过13年的丰富的银行、支付等金融从业经验和反洗钱管理及工作经验,曾任中国工商银行总行营业部外汇资金运营及出口信贷业务处、总行内控合规部反洗钱处处长,负责中国工商银行全行反洗钱管理工作。目前为

李小杰女士在武汉理工大学获得工学学士学位,并于澳大利亚新南威尔士大学获得商学硕士学位(国际会计专业、金融专业)。曾获跟单信用证专家(CDCS) 、澳大利亚注册会计师(CPA Australia) 资格。


Richard Moore
  • Richard Moore

  • Former Managing Director & Group Head of Financial Crime & Security Services
  • DBS (Singapore)

Bio

Mr. Moore joined DBS Bank in June 2012 as the Group Head of Financial Crime & Security Services. With his team, he is accountable for ensuring DBS has systems and processes in place to identify and prevent anti money laundering, sanctions, fraud and security risk.

Before joining DBS, Mr. Moore performed a similar role with the Commonwealth Bank of Australia across 12 years. Mr. Moore was also a Detective in Australia’s New South Wales Police Service. Mr. Moore hold a Bachelor of Policing (Investigations) and a Graduate Diploma in Risk Management. He is a member of MasterCard’s Global and Regional Fraud Advisory Councils, bodies which provide guidance to MasterCard on fraud trends and prevention initiatives. Mr. Moore is also a Board Member of ACAMS Singapore.


Elaine Tong
  • Elaine Tong | 佟妍

  • Supervisory Money Laundering Reporting Officer (MLRO), Asia | 亚洲区反洗钱监控总监
  • Bank of Montreal | 蒙特利尔银行

Bio | 简介

Ms. Tong is the supervisory Money laundering reporting officer (MLRO), Bank of Montreal (BMO) Asia. She is responsible for the maintenance and oversight of the AML Program for all BMO operating groups in Asia.

Ms. Tong had held various senior compliance positions in international banks. Between 2005 and 2016, Ms. Tong was, consecutively, the senior compliance VP at HSBC, then Chief compliance officer at JPMorgan Chase Bank China. Prior to that, Ms. Tong had 6 years’ experience in law firms.

In a span of 18 years in legal, compliance and AML career, Ms. Tong witnessed the AML development in China and has had the privilege of participating in that process. As the bank representative, Ms. Tong joined the FATF China evaluation and provided feedback on behalf of banking industry. With such passion about AML, moving from compliance to dedicated AML role was a nature fit for Ms. Tong. She had led the team to establish and maintain AML program in major Asian jurisdictions including Singapore, HK and China.

Ms. Tong’s educational background includes a Master in International Law from the University of Essex in UK, and LLB degree from University of Political Science and Law in China.

佟妍女士现任蒙特利尔银行(BMO)亚洲区反洗钱监控总监,负责BMO 在亚洲地区包括中国,香港,新加坡,台湾,印度及澳大利亚的反洗钱和反恐融资管理。

在加入BMO之前,佟女士曾担任摩根大通银行(中国)有限公司合规总监及汇丰银行(中国)有限公司合规经理,负责合规及反洗钱工作。佟女士作为早期从事反洗钱工作的专业人员,曾参与反洗钱金融行动特别工作组(FATF)对中国评估及中国反洗钱法的征求意见,了解反洗钱/反恐融资领域的国际监管趋势。

佟女士拥有英国埃塞克斯大学法学硕士学历,以及中国律师执业资格,并曾在中外资律师事务所中执业多年。


Anna Tsai
  • Anna Tsai, CAMS

  • Former Head of Legal and Compliance
  • CTBC Bank

Bio

Ms. Tsai is a lawyer dually qualified in Hong Kong and Taiwan. She has been working with financial institutions in Hong Kong and Taiwan for the past decade. She was the Head of Legal and Compliance Department of CTBC Bank Hong Kong Branch before starting her own freelance consultancy service in October 2016. Prior to joining the financial industry, she was a public prosecutor in Taipei, Taiwan, and prosecuted several high-profile financial crime cases.

Ms. Tsai obtained LL.B. from National Taiwan University and LL.M. from Georgetown University Law Center in Washington, D.C., where she specialized in Financial and Securities Regulations.


Nicholas Turner
  • Nicholas Turner, CAMS

  • Attorney – FCC Practice
  • Clifford Chance

Bio

Mr. Turner is an attorney in Clifford Chance’s Hong Kong office, where he specializes in financial crimes advisory including economic sanctions and anti-money laundering compliance for the financial services sector. Mr. Turner is admitted to practice law in New York. He previously was a Senior Vice President for regional sanctions compliance at Citi Hong Kong and a Compliance Management Associate for Citi in New York and Los Angeles.

Mr. Turner’s financial crimes compliance experience in North America and Asia includes the trade finance, institutional, capital markets, and retail banking sectors, for both US and non-US financial institutions and corporate clients. He has conducted sanctions compliance training seminars in the United States and Asia. His recent publications include “The Financial Action Task Force: International Regulatory Convergence Through Soft Law,” published in the New York Law School Law Review, in 2015, and “Regulation E: Compliance Challenges under the CFPB’s Remittance Transfer Rule,” published in the Journal of Taxation and Regulation of Financial Institutions, in 2013.