conferences

Trade products are the soft underbelly of a bank, and controls around them must be strengthened.

Marriott Marble Arch, London, UK

4th – 5th December 2014

Attending This Premier marcus evans Conference Will Enable You to•Scrutinise controls for AML and CTF for trade products to ensure

they are up to the required standards•Avoid breaching rules on sanctions through your trade

product business•Discover what regulators expect and the potential penalties

and reputational damage associated with breaching rules•Benefit from a heat map of which products, counterparties,

and transactions pose the greatest compliance risk

Interactive Workshop on 4th DecemberPEP risk exposure and trade based money laundering (TBML)Tom BrownCEO and Senior ConsultantKaizen Compliance Solutions

Neil Marshall COO and Senior ConsultantKaizen Compliance Solutions

Jorge Montana Managing DirectorKaizen Compliance Solutions

Expert Speaker PanelSimon DeutschGlobal Head Compliance New Non Core Division and Global Transaction BankingDeutsche Bank

Charlene EylesDirector, Compliance Division of EMEABank of Tokyo-Mitsubishi UFJ

Melanie JohnstonGroup Head: AML, CTF and Sanctions ProgrammesNedbank

Simon WilkinHead of Financial Crime GroupSumitomo Mitsui Banking Corporation Europe

Antonio Artur FerreiraHead of ComplianceGrupo Banco Finantia, S.A.

Ignacio Echeverría Miralles de ImperialAML and Sanctions Compliance OfficerAresbank

Jim BidwellAML and Sanctions Trade Advisory, Corporate and Institutional BankingRBS

Selim ÖnalHead of ComplianceAkbank

Graham DorkinsMLRO and Assistant Compliance OfficerPersia International Bank Plc

Stephane OrliacHead of Legal and ComplianceBGFI International

Pottengal MukundanDirector ICC – International Maritime Bureau ICC – Commercial Crime Services

Anthony Smith-MeyerProfessor of International Business and ManagementUniversity of Miami, Ohio - Europe Campus, Luxembourg

Scott NanceFormer Head of Sanctions ComplianceING

Nico ZwikkerFormer Group Head of ComplianceABN Amro

Norashikin SM AminMLROChina Construction Bank (London) Limited

In the ChairScott NanceFormer Head of Sanctions ComplianceING

Media Partners

Compliance Risk in Trade ProductsImplementing proactive controls around trade and commodity finance to prevent fines and reputational damage

Interactive Roundtable Sessions• Mitigatingtradecomplianceriskwithinhighrisk

geographies• Identifyingandmanagingkeytransactionalriskswithin

trade and commodity finance• Copingwithcomplianceriskwithinspecifictrade

products

r

Learn from Key Practical Case Studies•Bank of Tokyo-Mitsubishi UFJ address mitigating compliance

risk throughout a trade finance transaction•Nedbank explore the role of compliance controls within sanctions •Deutsche Bank examine compliance processes to control

financial crime •Aresbank demonstrate how to manage risk in high risk

jurisdictions

Day One

4th December 2014

P

08.30 Registration and Coffee

09.00 Opening Address from the Chair

EXAMINING CONTROLS FOR TRADE PRODUCTS

09.10 Case StudyA practical examination of financial crime in trade products•Methodsforintegratingcomplianceprocesseswithinresourceand

time constraints•Earlyidentificationofsuspicioustradesandtransactions:Redflags

and what this can mean•Whatdetectionprocessesandsystemshaveprovenmosteffective?Simon DeutschGlobal Head Compliance New Non Core Division and Global Transaction BankingDeutsche Bank

09.55 Case StudyCompliance risk in the lifecycle of a trade finance transaction•Whichperiodsofthetransactionhaveheightenedrisk?•Whatcontrolsshouldbeenactedatwhattimes?•Whatstructurescanbeemplacedtocontroltheinherentrisk?•Whatmarkerswerepresentpost-eventtoindicatewherecomplianceriskwaspresent,andwhatlessonscanbelearnt?

Charlene EylesDirector, Compliance Division of EMEABank of Tokyo-Mitsubishi UFJ

10.40

An excellent opportunity to speak directly with your peers and network effectively. Exchange your views and business cards.

10.55

11.15 FCAthematicreviewTF14/16onMoneyLaunderingand sanctions riskTBCNorashikin SM AminMLROChina Construction Bank (London) Limited

11.45 Identifyingandmanagingextraterritorialrisk•Identifyingthesourceofextraterritorialrisk•Managingtheemergenceofnewrisks-TheRussiaexample•Dealingwithuncertaintyanddilemmas•Theroleofgovernanceinmanagingextraterritorialrisk•Risk,cultureanddecisiontakingAnthony Smith-MeyerProfessor of International Business and ManagementUniversity of Miami, Ohio – European Campus, LuxembourgNico ZwikkerFormer Group Head of ComplianceABN Amro

12.30 Lunch

13.45 Case StudyControls for trade operations in a small entity •Prioritisationandestablishmentofcontrols•Howhavecontrolsbeensupportedfromscratch?•AdaptingcontrolsalongsideevolvingtradeoperationsStephane OrliacHead of Legal and ComplianceBGFI International

14.30 KYC and On-boarding processes•ManagingincreasedduediligenceproceduresandPEP•Minimisingconsumerimpactofappropriateprocesses•IntegratingKYCwithdetectionofsanctionsevasionandfinancial

crime controlsScott NanceFormer Head of Sanctions ComplianceING

15.15

TRADE PRODUCTS AND A TUMULTUOUS POLITICAL ENVIRONMENT

PANEL DISCUSSION

15.45 Impactofsanctionsinthecurrentpoliticalenvironment•WhateffectisthecurrentpoliticalsituationinRussiagoingtohaveontradeproducts?

•Istherealackofclarityaroundquicklyenactedsanctions?•Howcanongoingtradeoperationsandrelationshipspersistinthefaceofincomingsanctions?

Graham DorkinsMLRO and Assistant Compliance OfficerPersia Bank International PlcJim BidwellAML Advisory, Markets and International BankingRBS

16.30 Closing Comments from Chair and End of Day One

Who Should AttendFrom Banks:•Trade/TreasuryProductCompliance•TransactionBankingCompliance•Compliance•AML•Sanctions•FinancialCrime•MLRO

Business Development OpportunitiesDoes your company have services, solutions or technologies that the conferencedelegateswouldbenefitfromknowingabout? If so, you can find out more about the exhibiting, networking and branding opportunities available by contacting:Athul George, Business Development Directormarcus evans LondonTel: +44 (0)20 3002 3172E-Mail:AthulG@marcusevansuk.com

Day Two

5th December 2014

P

R

08.30 Registration and Coffee

09.00 Opening Address from the Chair

09.10 Case StudyMitigating and controlling sanctions risk•Interconnectednesswithsanctionedparties:EDDandmonitoring

relationships•Movementofgoodsnearsanctionedgeographies•EvadingsanctionsandhowbillsofladingaremisrepresentedMelanie JohnstonGroup Head: AML, CTF, and Sanctions ProgrammesNedbank

ADOPTING TRADE PRODUCT COMPLIANCE TO A NEW REGULATORY ENVIRONMENT

PANEL DISCUSSION

09.55 Governance challenges in supervising trade products•Aligningthecompliancefunctionwithinternalcontrolfunctionsto

promote the right culture•WhatwouldtheroleofcompliancebealongsideHRandinternalcommunicationsthroughoutaculturechange?

•Proactivelyengagingemployeeswiththerightculture•Canculturechangeeffectivelyreduceriskofsanctionsand

compliance breaches and how can you start to measure success in thisarea?

Anthony Smith-MeyerProfessor of International Business and ManagementUniversity of Miami, Ohio – European Campus, LuxembourgAntonio Artur FerreiraHead of ComplianceGrupo Banco Finantia S.A.Simon WilkinHead of Financial Crime GroupSumitomo Mitsui Banking Corporation Europe

10.40

HEAT MAP: HIGHLIGHTING HOT ZONES OF TRADE PRODUCT COMPLIANCE RISK

11.10 Financial crime and sanctions risk in the Middle East•Identifyingheightenedareasofrisk

– How to define the business risk in the region–Whatarethekeyriskareas?– Risky businesses

•Protectingyourinstitutionfromsanctionsrisk:KYCandEDD– Establishing the KYC principles regarding the regional risks– High risk elements– Management challenges– Client risk scoring troubles in the region– Regulatory filtering– Strengthening AML and sanctions monitoring systems

•Whatstructurescanbeemplacedtoavoidsanctionsbreachesasanenterprise-wideapproach

Selim ÖnalHead of ComplianceAkbank

11.55 The misuse of bills of lading in trade finance•Billsoflading:Akeyvulnerability•Banksatrisk:Examples,preventionandresponse•MovementofgoodsnearsanctionedgeographiesPottengal MukundanDirectorICC – International Maritime BureauICC – Commercial Crime Services

12.40 Lunch

13.40 Case StudyCompliance risk and sanctions in high risk jurisdictions•Differencesinsanctionscompliancewhenworkinginhighrisk

geographies•IdentificationofriskandwhatEDDandKYCprocesseshavetobe

implemented to control risks•Increasedregulatoryscrutinyanditsimpacton

the compliance functionIgnacio Echeverría Miralles de ImperialAML and Sanctions Compliance OfficerAresbank

HEAT MAP: ROUNDTABLE AND BREAKOUT SESSIONS

14.25 Following the panel discussion, roundtable discussions around the three categories of geographies, transactions and products will commence. Delegates will be able to join discussions and speak to experts in this area about their individual concerns, spending approximately 30 minutes on each topic. Table OneMitigatingtradecomplianceriskwithinhighriskgeographiesAntonio Artur FerreiraHead of ComplianceGrupo Banco Finantia S.A.

Table TwoIdentifyingandmanagingkeytransactionalriskswithintrade and commodity financeSelim ÖnalHead of ComplianceAkbank

Table ThreeCopingwithcomplianceriskwithinspecifictradeproductsMelanie JohnstonGroup Head: AML, CTF and Sanctions ProgrammesNedbank

Table 4Africa and the unique trade product compliance challenges it presentsScott NanceFormer Head of Sanctions ComplianceING

16.00 Closing Comments from Chair and End of the Conference

W Interactive Conference WorkshopTrade based money laundering and PEP in trade finance

4th December 2014

16.30 Workshop Leader’s Introduction and Opening RemarksThis will be a practical, break out based session looking at managing trade based money laundering and politically exposed persons in trade finance. Delegates will come away with new strategies and methods for tackling these issues and will also have chance to benchmark the issues with their peers•UnderstandingPEPRiskExposure•IdentifyingandManagingPEPRisk•PEPS&DueDiligenceRequirements•UnderstandingTBMLRisk•TechniquesofManagingTBMLRisk•DueDiligenceApproachTom BrownCEO and Senior ConsultantKaizen Compliance SolutionsNeil MarshallCOO and Senior ConsultantKaizen Compliance SolutionsJorge Montana Managing DirectorKaizen Compliance Solutions

18.30 Closing Remarks from the Workshop Leader

Testimonials“We appreciate the diversity of the subject approached. It gave us an update of the situation covering regulation, new products and the impact”Commerzbank

“Well organised, pleasant organisers and time well managed”Barclays

“All of the sessions were very informative for me, if I have the chance I would like to join again”Mizuho

About the Media Partners

BetterRegulation.com is a unique resource providing a compliancesolution.Acomplete,‘one-stop’referenceforallthe statutory, regulatory and compliance material needed to compliantly manage your business – domestic and European Unequalled in its functions; BetterRegulation.com is:•Consolidatedandup-to-date.•Cross-referencedthroughout.•Withallamendmentsincorporated.Areascoveredinclude:FinancialServicesLaw&Regulation,European Law, Company Law, Pensions Law, Tax Law, Accounting,Actuarialguidance,Anti-MoneyLaundering.

The GlobalRisk Community is a thriving community of risk managers and associated service providers. Our purpose is to foster business, networking and educational explorations among members. Our goal is to be the worlds premier Risk forum and contribute to better understanding of complex world of risk.

The International Association of Financial Executives Institutes orIAFEI(www.iafei.org)isaprivatenon-profitandnon-politicalassociation of Financial Executives Institutes from all over the world. Founded in 1969, IAFEI currently has 17 Member Institutes in the Americas, Asia, Europe and the Middle East, with a total membership of over 20,000 financial executives.IAFEI aims to:•buildandimprovemutualunderstandinginternationally

among financial executives through the exchange of financial information, experience and ideas;

•provideabasisforinternationalcooperationamongfinancialexecutives toward making financial systems and regulations more uniform, compatible and harmonious worldwide;

•promoteethicalconsiderationsinthepracticeoffinancialmanagement throughout the world.

http://www.iafei.org/