2nd Annual enhanced AML and Financial Crime Tools and Techniques – Shanghai
第二届上海《加强反洗钱/反金融犯罪实用工具和技巧》研讨会

  • When: 03 November 2016
    日期: 2016年11月3日
  • Where: Shanghai
    地区: 上海
  • Venue: Grand Millennium Shanghai Hongqiao
    No. 2588 Yan An West Road Changning District
    Shanghai, 201103, China

    会场地点: 上海千禧海鸥大酒店
    中国上海市长宁区延安西路2588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著称。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.)

8.30 – 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 – 10.30

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

10.30 – 10.50

Networking and Refreshment Break
交流和茶歇

10.50 – 12.00

Updating AML Models to Meet Global Ultimate Beneficial Ownership (UBO) Standards
更新反洗钱模型,以符合全球的最终受益所有人(UBO)标准

12.00 – 13.15

Networking Luncheon for all Participants
交流和午餐

13:15 – 14:30

Applying the Latest Intelligence to Combat Trade-Based Money Laundering (TBML)
利用最新情报打击贸易洗钱(TBML)

14:30– 14:50

Networking and Refreshment Break
交流和茶歇

14:50– 17:00

Interactive Workshop
Second Key Pillar of RBA: Designing an Effective Risk-based AML Compliance Program

互动工作坊:
风险为本方法的第二大支柱:制定有效的风险为本反洗钱合规制度

17:00 – 17:05

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)

Sponsors 赞助商

Platinum Sponsor and Bag Sponsor
白金赞助商及礼品袋赞助商

SWIFT

Swift

SWIFT is a member-owned cooperative through which the financial world conducts its business operations with speed, certainty and confidence. SWIFT’s Compliance Services unit manages a growing portfolio of financial crime compliance services that address our customers’ needs in the areas of sanctions, Know Your Customer (KYC) and AML. Learn more at www.swift.com/complianceservices.


Platinum Sponsor
白金赞助商

Bureau van Dijk

Bureau van Dijk

We’re experts in private company information, with information on 180 million companies we are the resource for company data. A key benefit of our information is how simple we make it to compare companies internationally.

Pricing 价钱

ACAMS Members (ACAMS会员) Non-Members (非会员)
$425 (美金 $425) $525 (美金 $525)
Join ACAMS 加入ACAMS

Speaker Faculty 讲者

Hue Dang
  • Hue Dang, CAMS-Audit | 鄧芳慧 (CAMS-Audit)

  • Head of Asia | 亞太區執行長
  • ACAMS | 公認反洗錢師協會 (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.

鄧芳慧女士供職於公認反洗錢師協會(ACAMS),於2008年設立協會亞太區總部 (位於香港)並擔任亞太區執行長。鄧芳慧女士在金融業有超過二十年的經驗,曾擔波士頓美國聯邦銀行(Federal Reserve Bank) 審查官、新加坡巴克萊資本投資銀行(Barclays Capital’s Investment Banking) 經理、新加坡花旗全球消費者銀行(Citibank’s Global Consumer Banking Group) 業務發展總裁和香港湯姆森金融公司(Thomson Financial) 亞太區業務發展總裁。鄧女士在美國安默斯特學院 (Amherst College) 獲榮譽文學士學位畢業,亦為美國哈佛大學約翰.肯尼迪政府學院的公共政策碩士。


Mao Zhongliang
  • MAO Zhongliang | 毛仲良

  • Deputy Chief of the Inspection Corps | 检查总队副总队
  • Shanghai Municipal Administration for Industry and Commerce (SHAIC) | 上海市工商局

Bio | 简介

MAO Zhongliang serves as the Deputy Chief of the Inspection Corps of the Shanghai Municipal Administration for Industry and Commerce (SHAIC), responsible for law enforcement and development of laws and regulations. Engaged in the inspection of business activities and legal compliance at agencies of industrial and commercial administration for 30 years, Mao has organized, presided over or commanded more than ten major operations in the Inspection Corps against business activities in violation of laws and regulations. In particular, he led his team to successfully uncover the Kedengyong Pyramid Scheme by cooperating with the Anti-Money Laundering Bureau (AMLB) of the People’s Bank of China and leveraging its achievements in anti-money laundering compliance. The case resulted in a penalty for the Kedengyong Company of 860 million RMB, and also directly led to the regulation of third-party payments by banks. In addition, Mao has also successfully organized the investigation against zombie companies and zombie accounts through this cooperative action.

毛仲良,现任上海市工商局检查总队副总队,分管执法办案、法制工作。从事工商工作30年,长期在工商部门经济检查、法制条线工作;组织、领导、指挥了工商总队数十起大要案的查处工作,尤其是在与中国人民银行反洗钱处的合作过程中,利用反洗钱合规工作成果,成功办理了客登庸传销案。该案的处罚金额高达8.6亿人民币,同时该案也成为第三方支付纳入银行监管的直接原因。另外,与人民银行反洗钱处合作,顺利开展了对僵尸企业与僵尸账户的核查工作。


lynn-na-li
  • Lynn Na LI, CAMS | 李娜(CAMS)

  • Head of FCC, China | 中国金融罪案合规部总监
  • Standard Chartered Bank (China) Limited | 渣打银行(中国)有限公司

Bio | 简介

Ms. Li has over 15 year of compliance in foreign banks, including responsibility for country regulatory, ethics, and sanctions compliance management and implementation of anti-money laundering controls and management of KKYC & transaction surveillance, and anti-fraud surveillance. Since 2008, she has been recognized with the AML Advanced Specialist rewarded issued by the PBOC every year. Ms. Li also holds an MBAA from Chinese University of Electronics, Science and Technology. She also contributed to the article《International Experience and Reference of Anti-money Laundering》(Japanese Part)

李娜女士现任渣打银行(中国)有限公司中国金融罪案合规部总监。拥有超过 15年 的外资银行工作经验,工作内容涵盖监管法规的落实、合规监测、制裁管 理以及客户管理。自2 00 8年以来,被人民银行任命为反洗钱高级专家。同 时,李娜带领团队协助中国人民银行构建了《反洗洗钱国际经验与借鉴》著书框架,并负责其中日本篇撰写。


Yao An
  • YAO An, CAMS | 姚安(CAMS)

  • Head of Segments & Products, China | 金融罪案合规部产品和客群管理总监
  • Standard Chartered Bank (China) Limited | 渣打银行(中国)有限公司

Bio | 简介

Ms. YAO is the Head of Segments & Products, FCC China in Standard Chartered Bank based in Shanghai, responsible for providing expert advisory and control services to business lines, working closely with global and regional FCC peers, developing FCC training plans and integrating the global FCC policies and procedures framework into China. Prior to that, An Yao had worked in a number of departments in Citibank N.A. and DBS Bank Ltd China on the various risk management roles, including operational risk, trade finance and cash management.

姚安女士目前任职总部位于上海的渣打银行(中国)有限公司,担任金融罪案合规部产品和客群管理总监,负责向业务部门提供专业咨询和管控意见, 与集团和区域金融罪案合规部 (FCC) 密切合作,制定FCC的培训发展计划,将集团的政策和程序整合入中国框架并确保其在中国的顺利实施。在此之前, 姚安女士在花旗银行和星展银行的不同部门担任不同的风险管理职务,包括操作风险、贸易融资和现金管理。她是一个认证的反洗钱专家(CAMS)。


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

  • AML Director – North Asia | 反洗钱合规总监
  • 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 recently joined ACAMS as a subject-matter expert, 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.

Joyce拥有逾20年银行从业经验。最近她加入公认反洗钱师协会(ACAMS),为协会的反洗钱合规总监,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。 Joyce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。 Joyce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。


Manisha Khanna
  • Manisha Khanna, CAMS-Audit

  • UK-based Tier 1 Bank | 英国第一级银行

Bio | 简介

Ms. Khanna is currently working with a Tier I UK based bank with significant operations in Asia, Africa and Middle East where her responsibilities include driving the implementation and on-going governance of Operational Risk Framework for Retail Banking across all markets. Prior to joining the bank, Ms. Khanna headed the Financial Crime and Compliance solution consulting practice at Oracle Financial Services. Covering the Asia Pacific and Japan market, she worked with financial institutions to understand their compliance challenges and propose the appropriate solutions from Oracle’s Financial Crime and Compliance Management Product Suite (formerly Mantas). Her area of expertise includes AML across Retail Banking, Correspondent Banking and Trade Finance, Cross Channel Fraud Detection, KYC and Enhanced and Ongoing Due Diligence.

With more a decade in the compliance and technology space, Ms. Khanna is CAMS-Audit Certified and a Masters in Computer Science from premier institute of technology (IIT Madras). She is also a published author in the area or AML and predictive analytics, including coveted ACAMS, Oracle and IEEE publications and a publication on applications of advance analytics and image surveillance with DRDO (Ministry of Defence, Govt. of India).

Khanna女士目前供职于一家英国第一级银行,该银行在亚洲、非洲及中东地区均设有许多办事处。她主要负责推动各市场零售银行经营风险框架的实施和持续性治理。此前,Khanna曾任职于甲骨文金融服务公司,主管金融犯罪和合规解决方案咨询工作。Khanna的客户遍及日本及其他亚太市场。她与金融机构合作,帮助客户识别合规挑战,并根据甲骨文金融犯罪和合规管理产品组合(旧称Mantas)提出妥当的解决方案。Khanna擅长的领域包括:零售银行反洗钱、代理银行服务和贸易金融、跨渠道欺诈侦测、了解您的客户以及强化和持续性尽职调查。

凭借在合规和技术领域十余载的丰富从业经验,Khanna通过了国际公认反洗钱审计师认证,并获得顶尖学府印度理工学院马德拉斯分校的计算机科学硕士学位。她还在多个备受赞誉的刊物上发表了大量有关反洗钱和预测分析的文章,其中包括ACAMS、甲骨文以及电气和电子工程师协会的刊物。她还发表了一篇有关印度国防研究与发展组织运用高级分析和图像监控的文章(该组织隶属于印度国防部)。


Emma Hunter
  • Emma Hunter

  • Senior Associate | 全球反洗钱/反恐融资组联席主管
  • Baker & McKenzie (Australia) | (澳大利亚)

Bio | 简介

As the founder and Supporting Chair of the Baker & McKenzie Global AML/CTF Group, Ms. Hunter advises investment banks, fund managers, investment advisers, brokers/dealers, foreign exchange dealers, remittance providers, market participants and exchanges on a range of areas relating to anti-money laundering, financial services, financial products, financial markets and related regulatory issues. Her practice is focused on acting for a wide range of both national and international clients in relation to their AML/CTF obligations, acting for issuers of various types of structured financial products, acting for financial markets, clearing and settlement and trade repository operators and providing financial services regulatory advice.

Ms. Hunter has been seconded to Perpetual Limited, Rabobank Australia and Western Union Business Solutions advising on AML/CTF, Future of Financial Advice and Australian financial services compliance matters. She has also advised Amazon, American Express, Bank of China, Gresham Bank, Société Générale and Western Union Business Solutions on AML/CFT matters. Ms. Hunter also acted for Chicago Mercantile Exchange on its successful application for a clearing and settlement facility license.

Ms. Hunter is the author of the Australian chapter of the international text book “International Guide to Money Laundering Law and Practice” (3rd edition) 2010, the fourth edition of this international text book (2013) and various articles on AML/CTF featuring in various publications (such as International Pension Lawyer Journal and Financial Planning Magazine).

Hunter女士是Baker & McKenzie全球反洗钱和反恐融资集团的创始人兼负责人,为投资银行、基金经理、投资顾问、经纪商/经销商、外汇交易商、汇款供应商及市场参与者提供建议。她在反洗钱、金融服务、金融产品、金融市场以及其他相关领域颇有建树。Hunter致力于帮助澳大利亚及全球各类结构性金融产品发行机构,金融市场、清算与结算、以及交易资料储存库经营者履行反洗钱和反恐融资义务,并为金融服务公司提供监管建议。

Hunter曾被借调至Perpetual有限公司、荷兰合作银行(澳大利亚)及西联商业解决方案部门,就反洗钱和反恐融资、未来金融建议 (Future of Financial Advice) 以及澳大利亚金融服务合规事宜提供建议。她也曾为亚马逊、美国运通、中国银行、Gresham银行、法国兴业银行及西联商业解决方案部门提供反洗钱和反恐融资建议。Hunter曾协助芝加哥商品交易所成功获得清算与结算设施许可。

Hunter是国际知名教材《反洗钱立法及实践国际指南》(2010年第三版和2013年第四版)(International Guide to Money Laundering Law and Practice) 中有关澳大利亚章节的作者,并在多个刊物上发表多篇有关反洗钱和反恐融资的文章,其中包括:《国际养老金律师》期刊 (International Pension Lawyer Journal) 和《理财规划》杂志 (Financial Planning Magazine)。