IIF GLOBAL SEMINAR

FINANCIAL CRIME RISK MANAGEMENT April 20-21, 2016 | London, United Kingdom

IN COOPERATION WITH MEDIA SPONSOR

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COURSE DESCRIPTION

GLOBAL SEMINAR ON FINANCIAL CRIME RISK MANAGEMENT

SEMINAR FACTS

Date: April 20-21, 2016

Location: London

Venue: Hilton London Bankside

CPD/CE: 12 hours

Program Fee:

- Member Firm $2000 (USD)

- Non-Member Firm $3000 (USD)

IIF GLOBAL SEMINAR:

FINANCIAL CRIME RISK MANAGEMENT

Effective financial crime risk management contributes to

the overall reputational well-being of a firm and its

customer bases, making it an essential practice for all

financial institutions.

Designed for senior managers and executives in

financial services, this two-day Global Seminar will

examine current and forward-looking elements of

mitigating financial crime risks. Strategic leadership

approaches and sound global practices for financial

crime prevention will be a key focus.

Sessions will be led by an impressive range of expert

industry practitioners, with a strong emphasis on

interactive, in-depth discussions. As this seminar will

bring together senior professionals from around the

globe, it will offer excellent opportunities for networking

with global peers.

LEARNING OBJECTIVES

Improve oversight and

leadership approaches to

financial crime prevention

Consider upcoming global

legal, regulatory and policy

developments

Explore sound controls,

reporting structures, and

compliance strategies

Overcome financial crime

challenges

Discuss risk management

trends with expert

practitioners and global

peers

REGISTER AT

IIF.COM/TRAINING

Registration is open up

to one week prior to

program start date or

until capacity is reached.

Capacity limitations may

force some programs to

IDEAL FOR PROFESSIONALS IN:

Anti-Financial Crime & Fraud

Anti-Money Laundering

Anti-Bribery and Corruption

Counter Terrorism

Sanctions

Politically Exposed Persons

PLEASE JOIN US IN LONDON TO TAKE

ADVANTAGE OF THIS UNIQUE OPPORTUNITY.

This seminar will be eligible for CPD/CE credits through the Chartered Institute for Securities & Investment (CISI), the CFA Institute, the Global Association of Risk Professionals (GARP), the International Compliance Association (ICA) and the Chartered Banker.

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WEDNESDAY APRIL 20

8:30 am—9:00 am REGISTRATION

9:00 am—9:15 am WELCOME AND INTRODUCTION Kate Hudson, Director of Global Training, IIF

9:15 am—10:30 am SESSION 1: PANEL DISCUSSION—GLOBAL POLICY AND REGULATORY DEVELOPMENTS

International, regional and national legal and regulatory developments in financial crime risk prevention; An in-depth view of emerging policy and regulatory risks and potential management and mitigation

Moderator: Kate Hudson, IIF

Jason Haines, Global Head (acting) External Relations, Global Financial Crime Compliance, HSBC

John Barrass, Deputy Chief Executive, Wealth Management Association

Brian Dilley, Group Director of Financial Crime Prevention, Lloyds Banking Group

10:30am—11:00 am COFFEE BREAK

11:00am—12:15 pm SESSION 2: ENHANCING A GLOBAL ANTI FINANCIAL CRIME COMPLIANCE PROGRAM

Effects of the increasing regulatory scrutiny on the policy development process; Understanding and managing the broad spectrum of financial crime risk in the rapidly evolving financial markets; The increasing use of data and technology and how it relates to the regulatory framework

Matt Russell, Partner, Forensic Services, PwC

Wilma Plieger, Head of Financial Economic Crime, ING

Jonathan Stone, Global Head of Financial Crime Change, RBS Group

12:15 pm—1:15 pm LUNCH

1:15 pm—2:30 pm SESSION 3: INDIVIDUAL ACCOUNTABILITY AND GOVERNANCE RISKS

Emerging trends and risks for those responsible for financial crime; Governance; Leadership oversight; Ensuring adequate controls to protect yourself long-term

Mehran Behvandi, Head of Compliance Advisory, RBS Legal

2:30 pm—3:00 pm COFFEE BREAK

3:00 pm—5:00 pm SESSION 4: ENSURING BUSINESS CONTINUITY UNDER A CYBER ATTACK—GAME OF THREATS (CYBER SIMULATION)

Damage limitation strategies; Innovations in cyber security prevention; Ensuring your firm has adequate controls on an on-going basis; Interactive team group activity simulating a cyber attack

Alex Petsopoulos, Financial Services Cyber Security Lead, PwC

5:00 pm—6:30 pm NETWORKING RECEPTION

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THURSDAY APRIL 21

GLOBAL SEMINAR ON FINANCIAL CRIME RISK MANAGEMENT

9:00 am—10:15 am SESSION 5: WORKSHOP AND PANEL—KEY INNOVATIVE PRODUCTS AND SERVICES IN FINANCIAL CRIME PREVENTION

A focus on innovative financial crime prevention technology, products, and services

David Choi, Partner, PwC

Graham Ure, Partner, PwC

10:15 am—10:45 am COFFEE BREAK

10:45 am—12:00 pm SESSION 6: ONGOING AML AND KYC—A STRATEGY FOR REMEDIATION

Snapshot of AML and KYC landscapes and key developments; Remediation– resources and challenges ensuring the overwhelming impact on a firm is manageable; Approaches to technology

Robert Walsh, Chief Financial Crime Officer & Deputy Chief Compliance Officer, AXA Group

Imran Farooqi, Partner, PwC

Joachim Von Haenisch, SWIFT

12:00 pm—1:00 pm LUNCH

1:00 pm—1:45 pm SESSION 7: SANCTIONS—SPOTLIGHT ON IRAN

Considerations for a globally active firm; Facilitated group discussion

Ben Luddington, Director, PwC

1:45 pm—2:45 pm SESSION 8: IMPLEMENTING A SOUND ABC STRATEGY WITHIN A FIRM

Overcoming obstacles to implementation; Strategy for corporate culture—engaging the whole firm from senior management to customer facing staff

Jon Watt, ABC Compliance Training & Programme Manager, Rolls-Royce plc

2:45 pm—3:15 pm COFFEE BREAK

3:15 pm—4:15 pm SESSION 9: CASE STUDY—POLITICALLY EXPOSED PERSONS

What is considered a PEP during CDD/KYC processes, and what about ‘de-pepping’? How to deal with PEP involvement in customer relationships; How PEP involvement could influence your risk assessment; Q&A

Wilma Plieger, Head of Financial Economic Crime, ING

Allianz (pending)

4:15 pm—5:00 pm SESSION 10: SETTING THE RIGHT COMPLIANCE CULTURE

Culture, integrity, ethics and behavior; Delivering the right culture within your firm to protect your firm and preserve your reputation

Moderator: Kate Hudson, IIF

Sian Jones, Head of Financial Crime, BlackRock UK

John Barrass, Deputy Chief Executive, Wealth Management Association

5:00 pm—5:15 pm CONCLUDING REMARKS

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SPEAKER PROFILES

GLOBAL SEMINAR ON FINANCIAL CRIME RISK MANAGEMENT

Kate Hudson, Director, Global Training, Institute of International Finance

Kate is the Director of IIF’s Global Training team, and previously a Policy Adviser for IIF’s Regulatory

Affairs team. Prior, she was a senior manager at the RBS Group Holding Company and a member of

the BBA’s Committee for Financial Inclusion. There she authored eleven new conduct risk policies

(including the UK’s first ever corporate policy on dealing with customers in vulnerable situations”);

and oversaw their implementation and training in their businesses (Coutts, Natwest, Citizens, M&IB

etc). Contracting for ComPeer Ltd, on their project board she quantified the costs of compliance in

the UK’s wealth management industry. Serving the UK’s WMA as Senior Policy Advisor, present on

their Board she helped to secure their first early day motion in Parliament. Prior, a compliance

planning officer for MMC, and here nominated a “Future City Leader” by the City of London

Mayor’s office. A compliance manager for ACE Ltd, and a conduct policy development executive

for BUPA Group- and then member of UK’s ILAG Regulatory Committee. Kate is a Mediator (DC

Superior Court) and holds a Postgraduate Diploma in MSc Financial Regulation and Compliance

Management at London Metropolitan University, and a L.L.B. in European Legal Studies from the

University of Westminster. She is also fluent in Spanish.

________________________________________________________________________________________

Jason Haines, Global Head (acting), External Relations, Global Financial Crime Compliance, HSBC Holdings PLC

Jason is the Global Head (acting) in the Global Financial Crime Compliance (FCC), External Relations

team at HSBC Holdings PLC. Jason currently represents HSBC on the British Bankers Association

(BBA) Money Laundering Advisory Panel (MLAP), the BBA Anti-Corruption and Bribery Panel and the

joint AFME/BBA Data Protection working group and in addition has represented HSBC in meetings

with Government. In addition Jason participates in HSBC's membership of the Wolfsberg Group.

Prior to joining HSBC in 2014, Jason held senior in-house compliance and advisory positions within

the banking sector, including interim Head of AML/STF Corporate Banking Division, The Royal Bank

of Scotland and Barclay's bank. Jason previously served on a House of Commons advisory group on

financial services and was appointed as a special adviser to an international project relating to the

assessment of AML/CTF standards in a number of overseas jurisdictions. Jason has held several

academic appointments and guest lectureships at the Institute for Advanced Legal Studies,

University of London, University of Cambridge and the University of Birmingham Business School.

Jason has published widely on regulation and compliance aspects related to financial crime

including a book on the regulation of electronic markets.

________________________________________________________________________________________

Matthew Russell, Partner, PwC

Matt Russell is a Director in PwC’s London Forensic Services practice, specialising in the integration

of financial crime investigation, detection and prevention activities within Financial Service clients,

covering fraud, money laundering and market abuse. Matt leads PwC’s Global Financial Crime

Operational Effectiveness initiative. Previously, Matt was the Head of AML & Sanctions for the

Barclays Retail Bank. He was responsible for a team of 70, including Policy, Financial Intelligence,

Monitoring, Screening and Training resources. In this capacity he was responsible for the delivery

of the UK Retailing aspects of the group-wide Sanctions and Politically Exposed Persons projects,

mobilising the project teams to work on strategic and retrospective activities, as well as representing

his Business Unit on senior project governance forums. Matt has also written numerous articles and

internal guidance addressing a variety of AML issues, including co-authoring two chapters of ‘A

Practitioner’s Guide to International Money Laundering Law and Regulation’.

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SPEAKER PROFILES

GLOBAL SEMINAR ON FINANCIAL CRIME RISK MANAGEMENT

Wilma Plieger, Head of Financial Economic Crime, ING Bank N.V.

Wilma Plieger works at ING Bank N.V. , based in Amsterdam. She is together with her team

responsible for policy setting, advice and support, (global) regulatory reporting and requests,

Functional oversight, monitoring as well as global training and awareness in the area of Financial

Economic Crime (focusing on AML and sanctions). Her background is diverse, having worked

previously for one of the Big 4 consultancy firms in various business environments and roles. Her

experience lies in the areas of chemical compliance, interim- and project management within large

national and international companies, and of course the Financial industry.

________________________________________________________________________________________

Alex Petsopoulos, Partner, Cyber Security, PwC

Alex is the Lead FS Partner in the UK Cyber Security practice. He has spent his entire career working

in technology, with his last 11 years focused on information security. He has had the opportunity to

work with many of the UK’s most high profile organisations in the financial services, oil and gas,

consumer business and media sectors. He has a successful track record of helping his clients

transform the way they manage cyber risk as they seek to protect their sensitive data and critical

national infrastructure. Alex has hands-on experience implementing a range of security solutions to

help companies manage key threats and achieve compliance with various industry standards and

regulations (e.g. NIST, ISO27001, PCI DSS, DPA, NERC CIPs, CPNI & FSA Guidance). His domain

knowledge includes: Security strategy and operating models; Security investment planning and

programme management; Cyber threat and vulnerability management; Information protection;

Identity and access management; IT infrastructure security.

________________________________________________________________________________________

Robert Walsh, Chief Financial Crime Officer & Deputy Chief Compliance Officer, AXA Group

Bob Walsh has global responsibility for financial crime compliance at AXA. This includes AML,

international sanctions and anti-bribery. In addition he is AXA Group’s Deputy Chief Compliance

Officer. Outside of AXA he chairs the Sanctions in Insurance Roundtable, which is an informal

association of the world’s largest insurers, reinsurers and brokers, who collaborate with senior public

sector officials on the intersection of international sanctions issues and international commercial

insurance. He has also participated as a private sector representative in FATF consultative meetings

and the US Bank Secrecy Act Advisory Group. Bob is Canadian and was educated in Canada at

McGill University, Osgoode Hall Law School and the Ivey School of Business.

________________________________________________________________________________________

Imran Farooqi, Partner, Financial Services, PwC

Imran is a Partner in PwC’s London based Forensic Services practice, focused on Financial Services.

Imran has 15 years of experience advising global private sector and financial institutions on matters

of regulatory driven change. Imran joined PwC following a number of successful years with Deloitte

where he advised a number of clients on their financial crime effectiveness and established a

nearshore utility. Since joining PwC, Imran has specialised in the development and delivery of large

scale financial crime and regulatory focused remediation exercises.

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SPEAKER PROFILES

GLOBAL SEMINAR ON FINANCIAL CRIME RISK MANAGEMENT

Ben Luddington, Director—UK, PwC

Ben is a Director in PwC ‘s London based Forensic Services practice and is the UK leader for

financial sanctions. His recent work includes advising a global investment bank on how to prepare

for regulatory inspection of its anti-financial crime framework. He is currently assisting a global bank

review its payment processes to ensure that they are compliance with global sanctions regime.

________________________________________________________________________________________

Jon Watt, Anti-Bribery & Corruption Training Manager, ABC Compliance, Rolls-Royce PLC

Jon is responsible for both ABC Training and ABC Compliance Programmes at Rolls-Royce PLC. His

focus is on raising awareness, understanding and application of Anti-Bribery & Corruption Policy

across the company. This involves design and delivery of training following a complete review and

overhaul of policy. Prior to joining Rolls-Royce in June 2014, Jon spent over 20 years in life

insurance, investment and banking, primarily within new business, training and compliance related

roles. Most recently he worked to develop and deliver management training related to Conduct

Risk and Vulnerable Customers for The Royal Bank of Scotland.

________________________________________________________________________________________

1.202.857.3306 | www.iif.com/training | training@iif.com

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