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:
Financial Services Agency-Japan, Inspection Bureau (To be updated)
金融庁、検査局(調整中)

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

Current Status and Issues of AML & Economic Sanction: Evolving risks and its management
講演4:「AML・経済制裁対応における課題:進化するリスクと管理手法」

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: Practical Examples and Best Practices for Implementation of the Latest Japanese Regulations and On-going preparation for coming FATF Mutual Evaluation for Japan 
パネル・セッション:「国内法規制改正・施行及びFATF第4次対日相互審査に対する対処とベストプラクティス」 

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, Manager, Financial Services, KPMG AZSA LLC
有限責任あずさ監査法人、金融事業部、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
(調整中)

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
Register by 2017/7/31
早期登録・支払7月31日迄
$450 $500
  Register Now Join ACAMS

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

早期登録、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

Gold Sponsor

TOKYO SHOKO RESEARCH, LTD.

TSR DNB

Silver Sponsors

Bureau van Dijk

Bureau van Dijk

Pitney Bowes

Pitney Bowes


Speaker Faculty 講演者

Special Presentation

Rick McDonell
  • Rick McDonell

  • Executive Director
  • ACAMS
  • Former Executive Secretary
  • Financial Action Task Force (FATF)

Bio

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.


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.


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.