AML & ABC Forum SESSIONS 10-11 March 2020 Leonardo Royal Hotel London St Paul's AML AND ABC FORUM DAY 1 - 10/03/2020 London Registration and Refreshments Aligning AML & ABC Compliance – What are Risky Business: Identifying Your Third-Party the Benefits? Risk 08:30 - 09:00 11:45 - 12:30 13:35 - 14:20 ABC Chairpersons's Opening Remarks -synergies: advisory/assurance tools, testing and audits etc. Participants 09:00 - 09:15 speaker: Rita Mitchell - Partner, Willkie Farr & -customisation: leveraging AML tools for ABC Gallagher LLP Participants compliance Richard Smolicz - Director, AML/CTF/Sanctions/ABC & speaker: Simon Osborn-King - Partner, Willkie Farr & -efficiency and cost benefits of convergence MLRO, Nationwide Gallagher LLP Participants Keynote Speaker Moderator: Richard Smolicz - Director, AML/CTF/ First Contact – Establishing Efficient KYC & Sanctions/ABC & MLRO, Nationwide Client Onboarding Processes & Utilising new 09:15 - 10:00 Panellist: Michelle Goodsir - Managing Director, K2 Technologies Participants intelligence 14:20 - 15:10 Sara Lawson - General Counsel, Serious Fraud Office Panellist: Neil Brown - Chief Risk Officer, Earth Capital AML Panellist: Rod Morris - Head of Financial Crime & • What new technologies are most suitable for KYC? MLRO, Al Rayan Bank • Scalable Onboarding processes Nordic noir – Dirty banking in The Baltics • Enhanced Due Diligence 10:00 - 10:30 Networking Lunch & Exhibition Break Participants • The Swedbank Scandal investigation 12:30 - 13:30 Moderator: Anna Bradshaw - Partner, Peters & Peters Participants Panellist: Willem Wellinghoff - Chief Legal & Compliance Officer, ShieldPay Joachim Dyfvermark - Reporter/Producer, SVT AML Stream Opening Remarks Panellist: Euan Spence - Head of Financial Crime, UK 13:30 - 13:35 Current Accounts and Business Banking, Monzo AML Morning Networking & Refreshment Break Panellist: Svetlana Rhodes - Head of Financial Crime 10:30 - 11:00 Participants Compliance and Deputy MLRO, Close Brothers Asset Management Anna Bradshaw - Partner, Peters & Peters Panellist: Francesco Fulcoli - Chief Compliance Creating a Culture of AML & ABC Compliance Officer, TransferGo 11:00 - 11:45 ABC Stream Opening Remarks Panellist: Hugo Veazey - Director of Anti-Financial Crime Solutions, RDC • The role of training in culture 13:30 - 13:35 • Embedding culture in the business ABC • Evidencing culture Participants Easy as ABC? Heads of ABC Panel Participants Hannah Laming - Partner, Peters & Peters 14:20 - 15:10 ABC Moderator: Richard Smolicz - Director, AML/CTF/ Sanctions/ABC & MLRO, Nationwide Heads of Financial Crime Think Tank – -Sharing bribery act best practices (e.g. gifts and Panellist: Peter Burrell - Partner, Willkie Farr & Groupwide Risk Assessments & 5MLD entertainment/hiring processes) Gallagher LLP 13:35 - 14:20 -ABC compliance within a company's more holistic Panellist: Dominic Fielding - Head of Compliance & AML financial crime program MLRO, Handelsbanken Wealth UK • How has 5MLD changed your work? -The future of training & compliance tools: a move Panellist: Rod Morris - Head of Financial Crime & • High-risk countries from surveillance to analytics? MLRO, Al Rayan Bank • Product specific risks Panellist: Benjamin Anwuri - Chief Risk & Compliance -Where are financial markets heading, and what does Officer / MLRO, FCMB BANK (UK) LIMITED Participants this this mean for ABC compliance? (PSD2 & APIs, fintech, and more dispersed banking infrastructure) Moderator: Anna Bradshaw - Partner, Peters & Peters Participants Panellist: Jonathan Stone - EMEA, Head of Financial Crime, Nomura Moderator: Hannah Laming - Partner, Peters & Peters Panellist: Ciaran Askin - Head of Financial Crime & Panellist: Samuel Fields - Global Anti-Bribery and MLRO, Invesco Corruption Manager, State Street Panellist: Fabian Bennett - Head of Risk, Compliance & Panellist: Guy Cole - Head of AML & ABC, EMEA MLRO, Dahabshiil Transfer Services Ltd Financial Crime, Nomura International plc Panellist: Shona Beevors - Head of Anti-Bribery & Corruption, EMEA, Fidelity International +44 (0) 20 7017 7702 informaconnect.com/aml-and-abc-forum/ [email protected] AML & ABC Forum SESSIONS 10-11 March 2020 Leonardo Royal Hotel London St Paul's AML AND ABC FORUM DAY 1 - 10/03/2020 London Afternoon Networking and Refreshment Break Drinks Reception 15:10 - 15:30 16:50 - 18:00 AML Afternoon Networking & Refreshment Break 15:10 - 15:30 ABC Conducting a Complex AML Investigation 15:30 - 16:10 AML Participants Patrick Rappo - Partner, DLA Piper Sharing the Load - How Collective Action Can Work for Financial Services 15:30 - 16:10 ABC Participants Panellist: Gaon Hart - Head of Global Anti-Bribery & Corruption Advisory, Policy & Training, HSBC Panellist: Kenneth Gazzaway - Director, EMEA Regional Head of Anti-Bribery & Corruption Compliance, MUFG Bank Panellist: Brendan Leddy - Chief Compliance Officer and Head of Risk, Tellimer Moderator: Hannah Laming - Partner, Peters & Peters Utilising Digital Tools for Effective AML Governance 16:10 - 16:40 AML Participants Owe Lie-Bjelland - Director Program Management, GPRC, Corporater Best Friends? Using Technology & Data to Manage Risk 16:10 - 16:40 ABC Participants Speaker: Linda Baskett - Financial Crime Director, Aon Service Corporation Speaker: Brandon Daniels - President, Global Markets, Exiger Chairperson’s Closing Remarks 16:40 - 16:50 +44 (0) 20 7017 7702 informaconnect.com/aml-and-abc-forum/ [email protected] AML & ABC Forum SCHEDULE 10-11 March 2020 Leonardo Royal Hotel London St Paul's AML AND ABC FORUM DAY 1 - 10/03/2020 London TIME ABC AML 08:00 08:30 - Registration and Refreshments 08:30 - Registration and Refreshments 09:00 09:00 - Chairpersons's Opening Remarks 09:00 - Chairpersons's Opening Remarks 09:15 - Keynote Speaker 09:15 - Keynote Speaker 10:00 10:00 - Nordic noir – Dirty banking in The Baltics 10:00 - Nordic noir – Dirty banking in The Baltics 10:30 - Morning Networking & Refreshment Break 10:30 - Morning Networking & Refreshment Break 11:00 11:00 - Creating a Culture of AML & ABC Compliance 11:00 - Creating a Culture of AML & ABC Compliance 11:45 - Aligning AML & ABC Compliance – What are the Bene- 11:45 - Aligning AML & ABC Compliance – What are the Bene- fits? fits? 12:00 12:30 - Networking Lunch & Exhibition Break 12:30 - Networking Lunch & Exhibition Break 13:00 13:30 - ABC Stream Opening Remarks 13:30 - AML Stream Opening Remarks 13:35 - Risky Business: Identifying Your Third-Party Risk 13:35 - Heads of Financial Crime Think Tank – Groupwide Risk Assessments & 5MLD 14:00 14:20 - Easy as ABC? Heads of ABC Panel 14:20 - First Contact – Establishing Efficient KYC & Client On- boarding Processes & Utilising new Technologies 15:00 15:10 - Afternoon Networking & Refreshment Break 15:10 - Afternoon Networking and Refreshment Break 15:30 - Sharing the Load - How Collective Action Can Work for 15:30 - Conducting a Complex AML Investigation Financial Services 16:00 16:10 - Best Friends? Using Technology & Data to Manage Risk 16:10 - Utilising Digital Tools for Effective AML Governance 16:40 - Chairperson’s Closing Remarks 16:40 - Chairperson’s Closing Remarks 16:50 - Drinks Reception 16:50 - Drinks Reception +44 (0) 20 7017 7702 informaconnect.com/aml-and-abc-forum/ [email protected] AML & ABC Forum SESSIONS 10-11 March 2020 Leonardo Royal Hotel London St Paul's AML AND ABC FORUM DAY 2 - 11/03/2020 London Chairperson’s Opening Remarks A View from the Inside - Internal Enforcement Conducting Due Diligence on Alternative Unit of the Met Investments – Current Issues and Evolving 08:30 - 09:15 Best Practice 11:45 - 12:20 14:00 - 14:45 Participants What keeps a CCO up at night? AML Marc Grange - Head of Financial Investigation Unit, 09:15 - 09:55 Met Police • Real estate • Cryptocurrency • What risks are on the horizon? • How to conduct due diligence at a reasonable cost • Agile compliance functions Networking & Lunch Break Participants Participants 12:20 - 13:20 Christian Rijs - UK & Ireland Head of Anti-Financial Fintan Byrne - Chief Compliance Officer, CurrencyFair Crime, DWS Ann Doan - Head of Legal and Compliance, The Mark Hayward - Chief Executive, NAEA Propertymark Norinchukin Bank, London Branch AML Stream Opening Remarks Benjamin Anwuri - Chief Risk & Compliance Officer / 13:20 - 13:25 MLRO, FCMB BANK (UK) LIMITED AML Conducting an Intelligence-led Investigation Moderator: Neil Brown - Chief Risk Officer, Earth Participants 14:05 - 14:45 Capital Anna Bradshaw - Partner, Peters & Peters ABC • Dealing with opaque and unusual jurisdictions Managing Reputational Risk • Managing local intelligence sources ABC Stream Opening Remarks • Post-investigation - how to learn from 09:55 - 10:40 13:20 - 13:25 investigations • What skills will future financial crime & ABC • Screening for adverse media ABC investigators need? • Balancing business needs with reputational Participants concerns Participants • Culture, decision-making and brand loyalty Hannah Laming - Partner, Peters & Peters • How reputational risk differs for a traditional banks Panellist: Steven Haynes - Director, Greyhawk and fintechs Panellist: Ian Whiting - Deputy Head, Financial Crime Leveraging an outsourced CDD operation Operations & Intelligence, Deutsche Bank Participants 13:25 - 14:00 Moderator: Hannah Laming - Partner, Peters & Peters David Marshall - Associate Director, UK Compliance, AML NIBC Bank NV, London Liliya Gelemerova - Head of Transactions Monitoring Participants and Investigations, DMLRO, Commerzbank Sinead Goss - EMEA Head, AML, Anti-Bribery and