8th Annual Enhanced AML and Financial Crime Tools and Techniques – Taipei, Taiwan
第八屆國際洗錢防制研討會 – 強化反洗錢與金融犯罪工具與技術(台北)

  • When:12 January 2017日期 :2017年1月12日
  • Where:Taipei, Taiwan地區 :台北
  • Venue: Taiwan Academy of Banking and Finance,
    No. 62, Sec. 3, Roosevelt Road,
    Taipei 100, Taiwan
    地點 : 台灣金融研訓院 (台北市羅斯福路三段62號)

This targeted seminar, in partnership with the Taiwan Academy of Banking and Finance, 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.

To learn more about this event, contact ACAMS Taiwan at +866-2-8729 2988 or asia@acams.org.

公認反洗錢師協會(ACAMS)特與台灣金融研訓院合作,邀請海內外資深專家分享亞太地區洗錢防制規範最新趨勢,共同探討洗錢防制的合規挑戰,幫助台灣與全球反洗錢趨勢接軌。

如對研討會有任何查詢,請致電+866-2-8729 2988予ACAMS台灣辦事處;或電郵至 asia@acams.org

Agenda-at-a-glance
主要議題

(In English, with simultaneous translation into Mandarin)
(本活動備有中英雙向同步口譯)

9:00 – 9:10

Welcome Remarks
Mr. Wu-Chin, Lin, Vice President, Representative of Taiwan Academy of Banking and Finance
Hue Dang, CAMS-Audit, Head of Asia, ACAMS

開幕致詞
台灣金融研訓院代表 林武清副院長
公認反洗錢師協會 亞太區執行長 鄧芳慧女士 (CAMS-Audit)

9:10 – 9:20

KEYNOTE ADDRESS
Financial Supervisory Commission R.O.C (Taiwan)

開場引言
金融監督管理委員會 副主任委員 黃天牧先生

9:20 – 9:40

SPECIAL PRESENTATION
Mr. Rick McDonell
Executive Director, ACAMS
Former Executive Secretary, Financial Action Task Force (FATF)

貴賓演講
Mr. Rick McDonell

公認反洗錢師協會 執行董事
金融行動特別工作組(FATF) 前執行秘書

9:40 – 11:00 Regulatory Update: Compliance Strategies for New Rules and Guidance
最新監管趨勢:新規則與新指引下的合規策略
  • Evaluating the latest developments in Taiwan’s AML regulatory framework
    台灣反洗錢法規制度最新發展
  • Preparing for the Impact of the 4th-Round of FATF Mutual Evaluations on Your AML Program
    如何調整反洗錢工作以有效因應FATF第四次相互評鑑
  • Analyzing recent regulatory changes in Hong Kong, Singapore and throughout the APAC region
    分析香港、新加坡及亞太等地區近期反洗錢監管法規的轉變
Speakers 講者:
Mr. LIU Chia-Hsuan (Jules), Special Agent, AML Division, Investigation Bureau, Ministry of Justice, Taiwan
法務部調查局洗錢防制處 調查官 劉嘉瑄先生
Mr. Rick McDonell, Executive Director, ACAMS, Former Executive Secretary, FATF
公認反洗錢師協會 執行董事,金融行動特別工作組(FATF) 前執行秘書 Rick McDonell
Ms. Hue Dang, CAMS-Audit, Head of Asia, ACAMS
公認反洗錢師協會 亞太區執行長 鄧芳慧女士 (CAMS-Audit)
11:00 – 11:20 Networking and Refreshment Break
交流和茶歇
11:20 – 12:30 Updating AML Models to Meet Global Ultimate Beneficial Ownership (UBO) Standards
更新反洗錢模式以符合最終受益人(UBO)的全球標準
  • Tailoring on-boarding and due diligence policies to flag potential UBO exposure
    設計入職及盡職調查政策,以追蹤、分析與揭露潛在的UBO風險
  • Using global data sharing and public registers to enhance monitoring for UBO risks
    運用全球共享資料庫與公開資訊加強UBO風險監督
  • Creating internal systems to assure UBO alerts are escalated, investigated and resolved
    如何建置內部控制系統,有效強化UBO風險預警、調查、呈報與解決機制
Speakers 講者:
Mr. David J. A. Cope, Managing Director & Head of Financial Crime Compliance, Goldman Sachs LLC
12:30 – 13:45 Networking Luncheon
交流和午餐
13:45 – 14:00

UPDATE: Role of Risk Assessment in RBA
最新RBA之風險評估規範

Speaker 講者:
Ms. Hue Dang, CAMS-Audit, ACAMS
公認反洗錢師協會 亞太區執行長 鄧芳慧女士(CAMS-Audit)

14:00 – 15:15 Applying the Latest Intelligence to Combat Trade-Based Money Laundering (TBML)
如何運用最新情報防範以貿易為途徑之洗錢活動(TBML)

  • Understanding step-by-step mechanisms of a TBML operation
    了解TBML的運作模式
  • Capturing crucial customer information to improve Customer Due Diligence (CDD) practices
    如何把握關鍵客戶資料以強化客戶盡職調查(CDD)
  • Dissecting recent cases to identify recurring patterns and pinpoint illicit transactions
    從近期實際案例中分析歸納TBML之發生模式和確定非法的交易
Speakers 講者:
Mr. Christopher Pater, Attaché, Homeland Security Investigations – Hong Kong, Macau & Taiwan
Mr. Gregory Stout, Special Agent, Homeland Security Investigations – USA
Ms. Joyce Hsu, CAMS, AML Director – North Asia, ACAMS
公認反洗錢師協會 反洗錢合規總監 許朧方女士 (CAMS)
15:15 – 15:35 Networking and Refreshment Break
交流和茶歇
15:35 – 16:50 Sanctions: Strengthening Compliance Oversight with a Risk-Based Approach
制裁法案:如何強化風險導向之合規監督機制
  • Tailoring sanctions compliance models to reflect unique institutional risks based on business lines, client profiles, geographic issues and transaction patterns
    根據公司業務、客戶類型、地理因素及交易模式訂定符合機構風險屬性之制裁合規制度
  • Utilizing emerging technologies to enhance entity resolution and provide robust implementation of sanctions changes
    運用新興科技提升機構對於制裁法案及合規環境變化之因應能力
  • Integrating sanctions oversight into existing culture of compliance with staff training on identifying red flags, updating risk assessments and conducting enhanced due diligence
    結合制裁監管要求至合規文化及職員培訓,以提升機構整體對於風險之敏感度及強化盡職調查實施
Speakers 講者:
Ms. Maggie Qiu, Head of Sanctions – Greater China & Northeast Asia, Standard Chartered Bank
Mr. Nicholas Turner, CAMS, Attorney – FCC Practice, Clifford Chance
16:50 – 17:00 Closing Remarks
閉幕致詞

Hue Dang, CAMS-Audit, Head of Asia, ACAMS
公認反洗錢師協會 亞太區執行長 鄧芳慧女士 (CAMS-Audit)

Co-Organizer
合作伙伴

Taiwan Academy of Banking and Finance
台灣金融研訓院

Taiwan Academy of Banking and Finance (TABF), Taiwan

Pricing
價錢

ACAMS Members (ACAMS會員) Non-Members (非會員)
US$250.00 (美金$250) US$250.00 (美金$250)

Speaker Faculty
講者

Keynote
主講嘉賓

McDonell-Rick
  • Rick McDonell

  • Executive Director | 執行董事
  • ACAMS | 公認反洗錢師協會 (ACAMS)
  • Former Executive Secretary | 前執行秘書
  • Financial Action Task Force (FATF) | 金融行動特別工作組 (FATF)

Bio | 简介

Mr. McDonell was the Executive Secretary of the FATF from 2007 – 2015. Among the many accomplishments at the FATF was the negotiation and approval of the revised FATF Standards, the development of a new, standardized assessment “methodology” for the global FATF network and the start of a new round of FATF mutual evaluations. The new focus of evaluation now extends beyond the technical implementation of FATF standards to examine their actual effectiveness —a dramatic change, which has enabled the strength of AML regimes to be clearly determined. During this period, the FATF Global Network was expanded to nine FATF‐Style Regional Bodies (FSRBs) comprising over 190 countries. Mr. McDonell managed and supervised the FATF’s new fourth-round mutual evaluation program and was the lead for the first evaluation under this new methodology (Spain).

Prior to FATF, Mr. McDonell he worked for the United Nations Office On Drugs and Crime (UNODC), where he was Chief of the UN Global Programme on Money Laundering. In addition, he was the Founder and First Executive Secretary of the Asia Pacific Group on Money Laundering (APG) established in 1998. From 1995 to 1997, he was the Head of the FATF Asia Secretariat, which was the forerunner of the APG.

With over 40 years of experience, Mr. McDonell is a lawyer by training and has had extensive experience as a federal prosecutor and in conducting complex investigations including being in charge of many multidisciplinary investigation Task Forces into organised crime cases both nationally and internationally. He also has had experience in private legal practice and as a university lecturer.

McDonell先生於2007年至2015年擔任FATF執行秘書,他在任職期間的眾多成就當中包括,曾協商與審批FATF標準修訂版本,也為全球FATF平台開發新的標準化評估「方法論」,並啟動新一回合的FATF相互評鑑。新的評鑑焦點從FATF標準的技術執行層面,擴大至審查實際的效用,這大幅度的改變清楚確立了反洗錢制度的效力。在這段期間內,FATF全球合作已擴展至9個與其相同型態的區域性組織 (FSRB),涵蓋範圍超過190個國家。McDonell先生負責管理及監督新的第四回合相互評鑑計劃,並帶領執行首次以新方法進行評鑑的國家:西班牙。

在進入FATF之前,McDonell 先生曾任職於聯合國毒品與犯罪問題辦公室(UNODC),擔任聯合國全球洗錢防制計劃(UN Global Programme on Money Laundering)主席。此外,他也創辦了於1998年成立的亞太區反洗錢工作組 (APG),並出任首任執行秘書。他於 1995年至1997年間,擔任FATF亞洲秘書處(FATF Asia Secretariat)首長,此機構是APG的前身。

McDonell先生接受過律師訓練,曾任聯邦檢察官,亦曾參與複雜的調查案,包括負責許多跨學科的調查專責小組,追查全國與國際的組織性犯罪案例,擁有超過40年豐富經驗。此外,他曾擔任私人執業律師,並在大學擔任講師。


David Cope
  • David Cope

  • Managing Director and Head of Financial Crime Compliance
  • Goldman Sachs LLC

Bio

Mr. Cope has over 25 years of experience in the financial crime and anti-money laundering space, both as a Compliance Officer and in Hong Kong law enforcement. 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. Mr. Cope was also the regulatory and audit exam management lead in the Region for financial crime, and implemented the design and implementation of the regional monitoring and testing program.

Before his time in Compliance, 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. Mr. Cope had 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.


  • 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 to develop and execute 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 experience includes 5 years responsible providing Financial Crime and Operational Risk Management solution for a leading Consulting firm with particular expertise in AML and Operational Risk Management. Her expertise is focus on financial crime management and investigation. Various roles progressing from being a front line operator, sales to senior manager of headquarter operation center with further progression onto risk manager. Some of accomplishments include: 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; leading 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。


Chia Hsuan Liu
  • LIU, Chia-Hsuan (Jules)

  • Special Agent, AMLD
  • Ministry of Justice Investigation Bureau Taiwan

Bio

Having joined MJIB since 1990, Mr. Liu is currently a Special Agent of the AML Division. He was also Legal Attaché in Paris, Bureau de Représentation de Taipei en France. In addition, he was a Special Agent of MJIB in charge of training, maintaining internal security and criminal investigations.

He holds a degree of law from National Chengchi University.


Christopher Pater
  • Christopher Pater

  • Attaché
  • Homeland Security Investigations – Hong Kong, Macau & Taiwan

Bio

Attaché Pater has 29 years of federal law enforcement experience. He is currently the Homeland Security Investigations (HSI) Attaché Hong Kong. HSI Hong Kong’s area of responsibility includes Hong Kong, Taiwan, and Macau. Prior to being selected as the Attaché Hong Kong, Attaché Pater was the HSI Associate Deputy Assistant Director (ADAD) for the Western Hemisphere. As an ADAD, Attaché Pater provided programmatic and operational oversight for 7 Attaché offices. Before being promoted to ADAD, he was the HSI Operations Chief overseeing North America.

During his career, Attaché Pater was assigned to the Office of Professional Responsibility (OPR) for 15 years. While with OPR, he held the following positions: Deputy Division Director, Assistant Special Agent in Charge Chicago, and Section Chief/Examiner of the Computer Forensic Group. Before the establishment of DHS, Attaché Pater was employed by the U.S. Customs Service (USCS). During his tenure with the USCS, he held the following positions in El Paso, Texas: Senior Special Agent and Special Agent. Attaché Pater began his federal law enforcement career as an USCS Air Interdiction officer in Albuquerque, New Mexico. Mr. Pater graduated Cum Laude from Loyola University of Chicago, with a major in Criminal Justice.


Maggie Qiu
  • Maggie Qiu

  • Head of Sanctions, Financial Crimes Compliance – Greater China & North Asia
  • Standard Chartered Bank

Bio

Ms. Qiu is the Head of Sanctions for Greater China & North East Asia in Standard Chartered Bank based in Hong Kong, which in charge of managing all aspects of Sanctions compliance program in the region. Prior to this role, she was the APAC Director, Global Financial Crimes Compliance for Bank of America Merrill Lynch, and was responsible for regulatory exams, audit, regulatory changes, compliance Monitoring & Testing, issue management, Policy and Program, Risk Assessments, and trainings for 12 jurisdictions in the Asia Pacific region.

Before relocated to Hong Kong on January 2014, Ms. Qiu was the Head of AML for BAML China & the China Money-Laundering Reporting Officer, and was leading Bank of America Merrill Lynch’s Anti-Money Laundering and Economic Sanctions efforts in China. She had been in that role since 2010, and previously, Ms. Qiu worked for Financial Intelligence Unit (FIU) in Bank of American’s Global Headquarter in US. Before joining Bank of America Merrill Lynch, Ms. Qiu also worked in Wells Fargo, Wachovia on the various risk management roles. She is a frequent speaker in various international AML conferences on topics of Correspondent Banking Relationship, AML audit management, Risk-Based Approach AML program, etc. Maggie received her Master degree from University of Illinois Urbana-Champaign, USA.


Gregory Stout
  • Gregory Stout

  • Special Agent
  • Homeland Security Investigations – USA

Bio

Mr. Gregory M. Stout is a Special Agent with U.S. Immigration and Customs Enforcement (ICE), Homeland Security Investigations (HSI) in the Resident Agent in Charge (RAC) Northridge office in Los Angeles, California. RAC Northridge investigates a wide range of crimes, including counter-proliferation networks, commercial fraud, intellectual property rights (IPR) violations, money laundering, human smuggling and trafficking, child exploitation, and international narcotics trafficking.

Special Agent Stout has worked at the Special Agent in Charge (SAC) Los Angeles for seven years and has been assigned to the Worksite Enforcement Group (one year) and the Asset Identification and Removal Group (AIRG) (six years). While serving in the AIRG, SA Stout conducted several high profile international financial investigations in South Korea, Hong Kong, Taiwan, and China.

Mr. Stout has previously served in the United States Navy, the U.S. Immigration and Naturlization Service, and with U.S. Customs and Border Protection.


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.

Sponsors
贊助商

Gold Sponsor 金贊助商

SWIFT

Swift

SWIFT is a global member-owned cooperative and the world’s leading provider of secure financial messaging services.

Our messaging platform, products and services connect more than 11,000 banking and securities organisations, market infrastructures and corporate customers in more than 200 countries and territories, enabling them to communicate securely and exchange standardised financial messages in a reliable way. Headquartered in Belgium, SWIFT’s international governance and oversight reinforces the neutral, global character of its cooperative structure.

SWIFT是一個全球性金融同業合作組織,以及安全金融電文傳送服務之領先廠商。 我們的電文傳送平台、產品與服務,連結了全球超過 200 個國家與地區超過 11,000 家金融與證券機構、市場基礎設施與企業客戶,讓使用者能夠以安全可靠的方式通訊,以及交換標準化金融電文。SWIFT 總部位於比利時,其國際治理與監督功能,可強化其合作架構之中立性與全球特質。

https://www.swift.com/our-solutions/compliance-and-shared-services


Gold Sponsor 金贊助商

Stark Technology Inc.

Stark Technology Inc.

敦陽科技是臺灣最大的系統整合廠商,並名列臺灣地區服務業500大企業之一,為客戶提供最完善的資訊系統整合服務,現已有二千多家客戶。敦陽科技代理美國GlobalVision Systems 的產品PATRIOT OFFICER® 能提供金融業執行反洗錢及反恐怖分子資助的最佳解決方案。PATRIOT OFFICER®是一套被美國銀行協會(American Bankers Association, ABA)及其它銀行協會所一致推薦的全美最佳反洗錢以及反恐怖分子資助之智慧型系統,可進行名單掃描、風險為本的客戶風險分及實質審查、可疑交易報告、大額交易報告、與警示案件管理等作業並保留紀錄以便查核追踨,滿足金融業符合相關反洗錢法令規範的要求。

Stark Technology, Inc. (STI) is the largest system integrator and one of top 500 service enterprises in Taiwan. We provide more than 2000 customers with complete system integration services of information technology products including AML/ATF solution PATRIOT OFFICER® from our partner GlobalVision Systems. PATRIOT OFFICER® is the #1 BSA/AML/ATF solution for financial institutions of all sizes and endorsed by the largest bankers associations in US, which empowers financial institutions to conduct Risk Based Customer Identification Program (CIP), Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) and to screen customers, non-customers, and transactions against regulatory lists. The unique Multi-Dimensional Risk Weighted Algorithm also provides the ability to detect suspicious activities. PATRIOT OFFICER® has helped financial institutions pass the most stringent regulatory examinations THOUSANDS OF TIMES.

http://www.sti.com.tw/


Silver Sponsor 銀贊助商

Dow Jones

DJ_2015_460

Dow Jones Risk and Compliance is a global provider of risk management and regulatory compliance solutions. With a global team of expert researchers covering more than 60 languages, we deliver enriched risk data, investigative research tools and outsourced services to organizations around the world. Our market-leading data solutions help companies navigate Anti-Money Laundering, Anti-Bribery and Corruption, Economic Sanctions, Third Party Due Diligence, and Commercial Risk operations. Providing compliance professionals with flexible delivery options and a professional services offering, our compliance solutions empower fast and informed decision-making – without compromising on coverage.

道瓊斯風險與合規是全球領先的風險管理與內控合規資料庫供應商。我們的專家研究團隊覆蓋60多種語言,務求能為全球各組織提供充實的風險管理資料。道瓊斯風險與合規的風險資料解決方案領先全球,我們提供不同類型的調研工具和外包服務,能幫助企業有效應對反洗錢、反賄賂反貪污,及經濟制裁方面的管控,並協助企業在各方面的盡職調查,以及監控各類的商業風險合規領域。道瓊斯風險與合規擁有頂尖的合規專才,加上我們靈活的推送模式和專業服務,其制定的合規解決方案將使您在無所限制的覆蓋範圍下作出迅速和明智的決定。