ACAMS 8th Annual Tokyo Seminar on “Enhanced AML and Financial Crime Tools & Techniques”
ACAMS第8回東京AML/CTFセミナー 継続的なマネーローンダリング/テロ資金供与/金融犯罪対策 現状と課題

  • When: 7 September 2017
    平成29年9月7日
  • Where: Tokyo, Japan
    東京 日本
  • Venue: Hotel Okura Tokyo
    2-10-4 Toranomon, Minato-ku, Tokyo, Japan

    ホテルオークラ東京
    東京都港区虎ノ門2丁目10-4

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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.

Agenda-at-a-glance

(Simultaneous Translation between English and Japanese will be provided)
(英語・日本語同時通訳付)

8:00 – 9:00

Registration and Morning Tea
受付・ネットワーキング

9:00 – 9:10

Welcome Remarks
主催者挨拶

Hue Dang, CAMS-Audit, Head of Asia, ACAMS
Masahiko Hibino, CAMS, Country Head of Japan, ACAMS
日比野正彦、CAMS、ACAMS日本代表

9:10 – 9:40

SPECIAL PRESENTATION: Understanding FATF’s 4th-Round Mutual Evaluation Methodology
特別講演:「FATF第4次相互審査方法の理解」

Speaker 講演者:
Rick McDonell
Executive Director, ACAMS
Former Executive Secretary, Financial Action Task Force (FATF)

9:40 – 10:00

Regulatory Update: Compliance Strategies for an Evolving Landscape
講演1:「最新規制動向:新たな規制・ガイダンスに対するコンプライアンス戦略」

  • Understanding recent APAC and global compliance efforts including rule changes that impact AML coverage
    AMLに影響を及ぼすルール変更を含む最近のアジア地域及びグローバルなコンプライアンス動向
  • Analyzing recent regulatory changes within Hong Kong, Singapore and throughout the APAC region
    香港、シンガポールとアジア地域の規制変化の影響評価

Speakers 講演者:
Hue Dang, CAMS-Audit, Head of Asia, ACAMS

10:00 – 10:30

Current Status and Issues of AML/CTF Developments Affecting Financial Institutions in Japan
講演2:「金融機関におけるAML/CTFの現状と課題」

Speaker 講演者:
Eiki Takahashi, Deputy Director/Attorney at Law, Supervisory Coordination Division, Supervisory Bureau, Financial Services Agency-Japan
金融庁、監督局総務課国際監督室、課長補佐・弁護士、高橋瑛輝 氏

10:30 – 10:45

Networking and Refreshment Break
休憩・ネットワーキング 

10:45 – 11:45

Updating AML Models to Meet Global Ultimate Beneficial Ownership (UBO) Standards
講演3:「真の受益者(UBO)のグローバル・スタンダード充足のためのAMLモデルのアップデート」

  • Tailoring on-boarding and due diligence policies to flag potential UBO exposure
    潜在的な UBO エクスポージャーに注意喚起を行うためのオンボード及びデューデリジェンスポリシーの調整
  • Using global data sharing and public registers to enhance monitoring for UBO risks
    UBOリスクモニタリング向上のためのグローバルデータシェアリングと公的記録の利用
  • Creating internal systems to assure UBO alerts are escalated, investigated and resolved
    アラートのエスカレーション、調査そして判断を担保する内部システムの構築

Speaker 講演者:
David J. A. Cope, Managing Director & Head of Financial Crime Compliance, Goldman Sachs LLC

11:45 – 12:30

AML in the Fintech Era
講演4:「Fintech時代のAML」

Speaker 講演者:
Daisuke Nakao, CAMS, Chief Advisor, AML Office, Global Compliance Division, The Bank of Tokyo –Mitsubishi UFJ, Ltd.
三菱東京UFJ銀行、 コンプライアンス統括部、マネーローンダリング対策室 チーフ・アドバイザー、CAMS、
中雄大輔 氏

12:30 – 13:30

Networking Luncheon for all Participants
昼食・ネットワーキング

13:30 – 14:45

PANEL SESSION: How Financial Institutions Are Developing Their AML/CFT Measures, Keeping Eyes on FATF’s 4th-Round Mutual Evaluation of Japan
パネル・セッション:「FATF第4次対日相互審査を見据えた態勢整備の実際」

Panelists パネリスト

Yoshiaki Nishi, CAMS, Manager, AML Office, Global Compliance Division, The Bank of Tokyo –Mitsubishi UFJ, Ltd.
三菱東京UFJ銀行、コンプライアンス統括部、マネー・ローダリング防止対策室、グローバルAMLグループ、調査役、CAMS、西好昭 氏

Hiroshi Ozaki, CAMS, General Manager of General Affairs Dept. and Head of AML & Financial Crime Prevention Dept., Sumitomo Mitsui Banking Corporation
三井住友銀行、総務部部長兼AML金融犯罪対応室長、CAMS、尾崎寛 氏

Atsushi Obata, CAMS, Executive Director, Japan Compliance, J.P. Morgan
J.P. Morgan、コンプライアンス部、エクゼクティブ ディレクター、CAMS、小幡 淳史 氏

Shuichiro Mita, CAMS, Senior Manager, Compliance Promotion Department No.2, Mizuho Bank, Ltd.
みずほ銀行、コンプライアンス推進第二部、マネーローンダリング対策室、参事役、CAMS、 味田修一郎 氏

Moderator モデレーター

Masashi Ono, CAMS, Senior Manager, Financial Services, KPMG AZSA LLC
有限責任あずさ監査法人、有限責任あずさ監査法人、金融事業部、シニアマネージャー、CAMS, 小野勝司 氏

14:45 – 15:00

Networking and Refreshment Break
休憩・ネットワーキング

15:00 – 15:30

Best Practices in AML Audit from Japanese Institution’s Perspective
講演5:「本邦におけるAML監査のベストプラクティスの確立に向けて」

Speaker 講演者:
Masanori Yoshimura, CAMS-Audit, Senior Manager, Internal Audit Department, The Bank of Tokyo –Mitsubishi UFJ, Ltd.
三菱東京UFJ銀行、監査部、監査グループ、AMLチーム・リーダー、上席調査役、CAMS-Audit、吉村匡則 氏

15:30 – 16:55

SANCTIONS WORKSHOP: Strengthening Compliance Oversight with a Risk-Based Approach
サンクションワークショプ:「リスクベースアプローチによるコンプライアンスの監督強化」

  • Tailoring sanctions compliance models to reflect unique institutional risks based on business lines, client profiles, geographic issues and transaction patterns
    事業部門、顧客プロファイル、地理的要因や取引パターンに基く固有の企業リスクを反映するサンクションコンプライアンスモデルの調整
  • Utilizing emerging technologies to enhance entity resolution and provide robust implementation of sanctions changes
    企業解析の向上とサンクション変化対応実施のための新しいテクノロジーの利用
  • Integrating sanctions oversight into existing culture of compliance with staff training on identifying red flags, updating risk assessments and conducting enhanced due diligence
    スタッフに対すレッドフラグトレーニング、リスクアセスメントの更新と強化された顧客管理の実施を通したサンクション管理と既存のコンプライアンス文化の統合
  • Performing independent sanctions model testing to ensure systemic integrity and identify and resolve any compliance oversight deficiencies
    一体性確保とコンプライアンス監督不備の発見・解決のための独立したサンクションモデル検証の実施

Speaker 講演者:
Nicholas Turner, CAMS, Attorney – FCC Practice, Clifford Chance (Hong Kong)

16:55 – 17:00

Wrap-Up & Key Take-Aways
総括
Masahiko Hibino, CAMS, Country Head of Japan, ACAMS
日比野正彦、CAMS、ACAMS日本代表

Pricing 価格

Private
(民間部門)
Member
会員
Non-Member
非会員
Standard Rate
標準価格
$475 $525
  Join ACAMS

Group Discount, Public Sector & Enterprise Member Registration, Please contact Masahiko Hibino, ACAMS Japan, at mhibino@acams.org or Tel: +81-3-5366 4745.

団体登録、公共部門およびエンタープライス会員の方の登録の場合は、ACAMS日本-日比野正彦 (mhibino@acams.org または Tel: +81-3-5366 4745)までご連絡ください。

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Sponsors

Platinum Sponsor

KPMG AZSA LLC

KPMG AZSA LLC

KPMG AZSA LLC hold approximately 6,000 people in major cities in Japan, providing audit, attestation, and advisory services such as financial advisory services and preparation for initial public offerings.

We also offer professional services in specialized fields including financials, manufacturing, retail, IT, media, government, and healthcare.

As a member of KPMG International, KPMG AZSA LLC provides clients with a consistent set of professional services globally through a network in 152 countries.

有限責任 あずさ監査法人は、全国主要都市に約 6,000名の人員を擁し、監査や各種証明業務をはじめ、財務関連アドバイザリーサービス、株式上場支援などを提供しています。

金融、情報・通信・メディア、製造、官公庁など、業界特有のニーズに対応した専門性の高いサービスを提供する体制を有するとともに、4大国際会計事務所のひとつであるKPMGインターナショナルのメンバーファームとして、152ヵ国に拡がるネットワークを通じ、グローバルな視点からクライアントを支援しています。

Gold Sponsor

TOKYO SHOKO RESEARCH, LTD.

TSR DNB

TOKYO SHOKO RESEARCH, Ltd., with business partnership with The Dun & Bradstreet Corp. (D&B), an American corporation having the world largest commercial database, has collected, compiled and constructed own company information and data which is one of the leading company databases in Japan. We provide the information on one stop, together with that of D&B which is about more than270 million companies worldwide, making great contribution to international business transactions by Japanese companies every day.

We support our customers to verify the existence of the business partners, their corporate linkage, board members, owner, shareholder and identify the ultimate beneficial ownership (UBO) using our global data and technology. We also provide our customers with D&B compliance solutions to allow them to carry out efficient and comprehensive due diligence combine with the many sources such as sanctions lists, PEP list.

Silver Sponsors

Bureau van Dijk

Bureau van Dijk

Dow Jones Risk and Compliance

Dow Jones

Pitney Bowes

Pitney Bowes


Bronze Sponsors

IBM Japan

IBM

日本IBMはIBMの日本法人として1937年に設立され、80年の歴史を持つ。ITに関する製品、サービスを提供し、近年ではAIを活用したコグニティブとクラウドを推進し、企業に価値を届けてビジネス成長を支援している。

Thomson Reuters

Thomson Reuters

Thomson Reuters is the world’s leading source of news and information for professional markets. Our customers rely on us to deliver the intelligence, technology and expertise they need to find trusted answers. The business has operated in more than 100 countries for more than 100 years. Thomson Reuters shares are listed on the Toronto and New York Stock Exchanges (symbol: TRI).

トムソン・ロイターは企業と専門家に向けてニュース・情報を提供する企業グループです。顧客の皆様が信頼できる解を得るために必要となる専門性、テクノロジー、情報を提供しています。トムソン・ロイターは100年以上の歴史と共に、世界100か国以上の国で事業展開しています。トムソン・ロイターの株式は、トロント証券取引所およびニューヨーク証券取引所に上場されています。


Speaker Faculty 講演者

Special Presentation

Rick McDonell
  • Rick McDonell

  • Executive Director
  • ACAMS

Bio

Mr. McDonell was the Executive Secretary of the FATF from 2007 to 2015. Prior to that he worked for the United Nations Office On Drugs and Crime (UNODC), where he was Chief of the UN Global Programme on Money Laundering.

Previously Mr. McDonell established the Asia Pacific Group on Money Laundering and became its first Executive Secretary. He 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.


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
  • Hue Dang, CAMS-Audit

  • Head of Asia
  • ACAMS

Bio

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.


Shuichiro Mita
  • Shuichiro Mita, CAMS | 味田 修一郎, CAMS

  • Senior Manager, Compliance Promotion Department No.2 | コンプライアンス推進第二部 マネー・ローンダリング対策室 参事役 兼 みずほフィナンシャルグループ
  • Mizuho Bank, Ltd. | みずほ銀行

Bio

Mr. Mita Joined the bank in 1988. In the present department since 2008, having the responsibility for organizing and maintaining the money laundering measures for whole of Mizuho Bank. Currently, He holds the posts at FG too, and be responsible for planning the Group and Global-based AML/CFT, including group of the companies of Mizuho FG and overseas locations.

1988年入行。2008年より、みずほ銀行のマネロン対策全般の態勢整備に従事。現在FGを兼務し、グループ会社や海外拠点も含めたグループベース、グローバルベースのAML/CFTの態勢整備全般の企画立案を担当。


Daisuke Nakao
  • Daisuke Nakao, CAMS | 中雄 大輔, CAMS

  • Chief Advisor, Anti-Money Laundering Office, Global Compliance Div. | コンプライアンス統括部 マネー・ローンダリング防止対策室、チーフ アドバイザー
  • The Bank of Tokyo-Mitsubishi UFJ, Ltd. | 三菱東京UFJ銀行

Bio

Mr. Nakao joined The Bank of Tokyo in 1987 after graduating from the International Christian University. He has been in the present section since 2009, having previously experienced various positions in Tokyo, London and Paris.

1987年 国際基督教大学 卒業後、東京銀行に入行

東京、パリ、ロンドンでの勤務を経て2009年より現部署。


Yoshiaki Nishi
  • Yoshiaki Nishi, CAMS | 西 好昭, CAMS

  • Chief Advisor, Anti-Money Laundering Office, Global Compliance Div. | コンプライアンス統括部 マネー・ローン ダリング防止対策室、調査役
  • The Bank of Tokyo-Mitsubishi UFJ, Ltd. | 三菱東京UFJ銀行

Bio

Mr. Nakao joined The Bank of Tokyo in 1987 after graduating from the International Christian University. He has been in the present section since 2009, having previously experienced various positions in Tokyo, London and Paris.

1994年 東京大学 卒業後、三和銀行に入行 2005年よりコンプライアンス関連部署で勤務、2011年より現部署。


Atsushi Obata
  • Atsushi Obata, CAMS | 小幡淳史, CAMS

  • Compliance Director; Corporate & Investment Bank | コンプライアンス部 コンプライアンス・ディレクター
  • J.P. Morgan | J.P.モルガン

Bio

Mr. Obata is a Compliance Director with J.P. Morgan in Japan. Appointed to his current role in October 2015, he oversees the Japan Banking Compliance division covering Treasury Services, Global Trade & Loan Products, Global Corporate Bank, as well as the Japan Financial Crime Compliance division.

He joined J.P. Morgan Chase Bank N.A., Tokyo branch in 2005 as the Head of Client Services in Treasury Services, before moving to Compliance in 2008 as the Asia Pacific Regional Compliance Director managing the Treasury Services business. Prior to J.P. Morgan, he was working for a European global financial institution where he held various leading positions including the Head of Global Cash Operations in Japan. He has 20 years of experience in transaction banking across both business and compliance fields.

He is a Certified Anti-Money Laundering Specialist (CAMS).

2015年10月より現職。コンプライアンス部にてフィナンシャル・クライム・コンプライアンスを統括するとともに、トレジャリー・サービス、貿易金融および融資、グローバルコーポレートバンクのビジネス・コンプライアンスを統括。

2005年よりJ.P.モルガン。トレジャリー・サービス本部のクライアントサービス部門統括を経て、2008年にコンプライアンス部に異動し、APACトレジャリー・サービス本部のコンプライアンスを担当。J.P.モルガン入社以前は、欧州の銀行でキャッシュ・マネジメント・オペレーション部門の責任者などを務めた。ビジネスとコンプライアンスの両面から幅広く決済ビジネスに従事、20年にわたる経験を有す。

公認アンチマネーロンダリングスペシャリスト(CAMS)。


Masashi Ono
  • Masashi Ono, CAMS | 小野勝司, CAMS

  • Senior Manager, Financial Services | 金融事業部、シニアマネージャー
  • KPMG AZSA LLC | 有限責任あずさ監査法人

Bio

Mr. Ono has a significant background in AML/CFT as Japanese regulator. He used to work for Japan Financial Services Agency for more than 10 years before joined KPMG AZSA LLC in August 2016. In particular, he was deeply involved in Japan’s FATF 3rd round Mutual Evaluation as a delegation from JFSA; he also led Japanese FIU transference project from JFSA to National Police Agency. In addition, he was seconded to BSA/AML Policy Division, Office of the Comptroller of the Currency as well as to New York City as JFSA Resident Examiner. He was awarded Master of Laws from National University of Singapore. He is a CAMS and Chartered Member of the Securities Analysts Association of Japan.

岡山大学法学部卒業、シンガポール国立大学ロースクール修了(LL.M.)。 1999年財務省四国財務局入局後、2003 年金融庁を経て、 2016 年 8 月あずさ監査法人入所。金融庁在籍中は、犯収法制定に伴うFIU(資金情報機関)の警察庁への組織移管プロジェクト、FATF第三次対日相互審査対応、検査局ニューヨーク駐在、OCC(米国通貨監督庁)BSA/AML Policy Division出向等に従事。現在は大手金融機関向けAMLアドバイザリー業務等に従事。CAMS、日本証券アナリスト協会検定会員。


Hiroshi Ozaki
  • Hiroshi Ozaki, CAMS

  • General Manager of General Affairs Dept. and Head of AML & Financial Crime Prevention Dept.
  • Sumitomo Mitsui Banking Corporation

Bio

Mr. Ozaki has almost 30 years’ experience in finance and banking. He firstly joined Mitsui Bank in 1988, after that he worked in Ministry of Finance and Embassy of Japan in US. He was back to Mitsui Bank in 1995. After his return, he held various leading positions and worked oversea including London and Dubai. He’s now the General Manager of AML & Financial Crime Prevention Department, General Affairs Department.

Ms. Ozaki holds Economics degrees from The University of Tokyo in and a Master degree (MBA) from New York University, Stern School of Business.


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.


Masanori Yoshimura
  • Masanori Yoshimura, CAMS-Audit | 吉村 匡則, CAMS-Audit

  • Internal Audit and Credit Examination Division | 監査部、チームリーダー兼上席調査役
  • The Bank of Tokyo-Mitsubishi UFJ, Ltd. | 三菱東京UFJ銀行

Bio

Mr. Yoshimura is the Team Leader and Senior Manager of Internal Audit and Credit Examination Division, The Bank of Tokyo-Mitsubishi UFJ, Ltd. Mr. Yoshimura has been at the internal audit division since September, 2011. After he joined the bank, he worked at several locations, including Head Office Corporate Banking Division, Singapore Branch and London Branch. Mr. Yoshimura holds an M.B.A from Johnson Graduate School of Management, Cornell University. Mr. Yoshimura has certificates: CAMS-Audit, CAMS, CIA, CCSA, CFSA, CRMA and CFE.

コーネル大学ジョンソン経営大学院卒(M.B.A)三菱東京UFJ銀行(旧三菱銀行)入行後、本店営業部、シンガポール、ロンドン勤務等を経て、2011年9月より監査部在籍。現在は本邦、アジア拠点をカバーするAML監査チームを担当。主な保有資格は、公認AML監査スペシャリスト、公認AMLスペシャリスト、公認内部監査人、内部統制評価指導士、公認金融監査人、公認リスク管理監査人、公認不正検査士等。