APAC Update: Lessons Learned From Recent High-Profile Bribery and Corruption Investigations

  • When: December 8, 2017
  • Time: 10:00 – 11:00 HKT
  • Level: All

A key component of an organization’s compliance strategy is the implementation of a robust anti-bribery and corruption program. Due to record-high enforcement actions and recent high-profile investigations involving APAC and global financial institutions, it is imperative that compliance programs enhance current policies and procedures including performing due diligence, knowing your customer and implementing ongoing monitoring procedures. During this webinar, panelists will review lessons learned from recent high-profile investigations and provide practical guidance to identify, address and contain instances of bribery and corruption.

Learning Objectives

  • Reviewing recent high profile APAC and global bribery and corruption investigations to discern practical AML lessons
  • Leveraging internal control policies and procedures to support anti-bribery functions including using a client’s past transaction monitoring data and alerts when updating an anti-corruption risk assessment
  • Charting bribery and corruption typologies to spots and investigate transactional red flags

Who Should Attend

  • Compliance Officers
  • Relationship Managers
  • Law Enforcement
  • Legal Advisors

Region/Industry

  • Asia-Pacific
  • Global
  • Bank
  • Law Enforcement

Moderator

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.

Speakers

  • David J. A. Cope

  • Managing Director & 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. 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.


William Scott Grob
  • William Scott Grob, CAMS

  • AML Director – APAC
  • ACAMS

Bio

William Scott Grob is the APAC AML Director for ACAMS. Previously, he was regional head of Affiliate Relationship Management of The Hong Kong Shanghai Banking Corporation managing the intergroup correspondent banking risks across 20 countries. He has worked on the Structured Funds desk, in Financial Institutions Group, and in Equity Prime Brokerage before moving into Financial Crime Risk. Previous to HSBC, he has worked for Deutsche Bank and Federal Home Loan Mortgage Group. Mr. Grob holds a Bachelor’s degree from Boston University and a Master of Arts from George Mason University as well as attending the General Management Program at Harvard Business School. He completed his doctorate dissertation focusing on correspondent banking due diligence from SMC University. He is an CAMS certified.


Rosalind Lazar
  • Rosalind Lazar, CAMS

  • Country Head of Financial Crimes Risk for Singapore
  • Standard Chartered Bank

Bio

A former Deputy Public Prosecutor with the Commercial Affairs Department (CAD), Ministry of Finance, Singapore, and Litigation Partner with Drew & Napier, Ms. Lazar joined the Financial Sector in 2005. She started with Citi Private Bank (CPB) as a member of the Global AML Team, and was responsible for the review and development of globally consistent CPB AML policies. Her role subsequently became regional to include oversight of Consumer and Corporate Banking. Her responsibilities included Regional APAC AML policy development, governance / reporting and training. In 2010, Ros joined Citi’s Internal Audit. As part of the CPB-Asia team in November 2010, she has audited various controls and processes of private banking, as well as the trust and brokerage brokerage, with special focus on AML/CTF controls. She returned to her former AML role when she joined Standard Chartered in November 2013 as Country Head of Financial Crimes Risk for Singapore. Ms. Lazar holds a Masters in Law from Columbia School of Law, New York.

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