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Conference Day One

8:30 AM - 9:00 AM Conference Registration and Arrival Coffee

9:00 AM - 9:10 AM Opening Remarks by IQPC Australia and the Conference Chair

Tony Prior, Director, Supervision, AUSTRAC

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Tony Prior

Director, Supervision
AUSTRAC
  • Adjusting compliance infrastructure to mitigate personal and institutional exposure to regulatory risks
  • Examining recent international AML cases to identify regulatory priorities
  • Highlighting the best methods for Onboarding & Due Diligence modules for your organisation
  • Identifying common mistakes in compliance that has led to complications between financial institutions and the law enforcement/regulators

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Nicholas Mctaggart

Former National Coordinator, Criminal Asset Task-Force
Australian Federal Police (AFP)

Darren Crowhurst

Detective Brevet Sergeant, Major Fraud Investigation Section (156)
South Australian Police
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Jo Proud

Regional Head of Compliance
Bank of Tokyo- Mitsubishi

Andrew Lawrence

Senior Legal Officer Fraud, Security and Integrity Reform Branch
Attorney- General’s Department

9:40 AM - 10:40 AM Opening Keynote: How Are New Technologies like the Blockchain & Automation Contributing to the Prevention of Money Laundering, Bribery & Corruption and Fraud?

Tony Prior, Director, Supervision, AUSTRAC Graham Leney, Head of Group Financial Crime Compliance, AMP , , Hugo O’Connor, Head of Innovation, Bit Trade Australia Sharon Thorpe, Managing Director- Head of Financial Crime Compliance (AUS & NZ), Macquarie Group
  • Discussing implications for blockchain technology and distributed ledger systems to aid in risk management and money laundering
  • Implementing high tech monitoring processes into current risk mitigation and detection plans
  • Transforming financial crime investigation programs through automation
  • Examining cost alternatives, onboarding cycles, data management and improved process with the aid of new emerging technologies being tested in the APAC region and internationally

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Tony Prior

Director, Supervision
AUSTRAC

Graham Leney

Head of Group Financial Crime Compliance
AMP

Hugo O’Connor

Head of Innovation
Bit Trade Australia
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Sharon Thorpe

Managing Director- Head of Financial Crime Compliance (AUS & NZ)
Macquarie Group

10:40 AM - 11:10 AM Solution Provider Thought Leader Session

11:10 AM - 11:20 AM SPEED NETWORKING SESSION

11:20 AM - 11:50 AM MORNING TEA & NETWORKING BREAK

This session will be lead by selected experts in the AML & financial crime space. The moderator will present three general topics in which the audience will ask questions to these experts for 15 minutes on each topic.

Topics:
  • Global Regulatory Trends
  • Beyond Compliance
  • Mastering the Examination Process
  • Prevention & Red Flags in AML/CTF

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Tony Prior

Director, Supervision
AUSTRAC

Liz Knight

General Manager, Operational Risk and Compliance, AMLCO
Kiwibank NZ

Wendy Ward

Regional Head of AML
American Express

Carolyn Hanson

Head of Financial Crime Compliance
Commonwealth Bank

Stream A: AML/CTF Compliance, Trends, and Prevention

12:30 PM - 1:10 PM Stream A: Case Study: Determining Ultimate Beneficial Ownership

Aurelie Ryan, Head of Compliance, OCBC Bank
  • Establishing the customer’s ownership structure and identifying and verifying the beneficial owners
  • Conducting enhanced due diligence on high risk clients to obtain BO clarity and enforce account monitoring
  • Conducting ongoing due diligence and determining changes in UBO or entity structure

Aurelie Ryan

Head of Compliance
OCBC Bank

Stream B: Emerging Threats In Financial Crime, Investigations & Mitigating Risk

11:50 AM - 12:30 PM Stream B: Case Study: South Australia’s Police Investigation: “Operation Profiteer”

Darren Crowhurst, Detective Brevet Sergeant, Major Fraud Investigation Section (156), South Australian Police
This case identified 43 victims worldwide and specifically dealt with the arrest of a South Australian offender for over 600 counts of money laundering. The charges resulted from the receipt and dispersal of over $700K received from Internet scam victims to recipients in West Africa.

  • Revealing detection methods and red flags that lead to the identification and arrest of a South Australian criminal
  • Discussing actions within the police investigation and methods for strengthening your AML programs
  • Outlining charges, dispersal and penalties that resulted from the investigations findings

Darren Crowhurst

Detective Brevet Sergeant, Major Fraud Investigation Section (156)
South Australian Police

Stream B: Emerging Threats In Financial Crime, Investigations & Mitigating Risk

12:30 PM - 1:10 PM Stream B: Case Study: Enhancing your AML Technologies to Prepare for the Next Threats in Financial Crime

This session is available for a solution provider to present

1:10 PM - 2:10 PM NETWORKING LUNCH BREAK

Stream A: AML/CTF Compliance, Trends, and Prevention Stream Chair: Tony Prior, Director Supervision, AUSTRAC

2:10 PM - 2:50 PM Stream A: Beyond Policies & Procedures: Measuring your Anti-Bribery & Corruption Programme

Rodney Hay, Regional Head Anti Bribery and Corruption ASEAN & South Asia, Standard Chartered Bank (Singapore)
  • What are the characteristics of an effective risk-based anti-bribery and corruption programme?
  • Utilising the right set of data for bribery risk assessment and programme design
  • Controls and measures to put in place for enabling legitimate business activities

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Rodney Hay

Regional Head Anti Bribery and Corruption ASEAN & South Asia
Standard Chartered Bank (Singapore)

Stream A: AML/CTF Compliance, Trends, and Prevention Stream Chair: Tony Prior, Director Supervision, AUSTRAC

2:50 PM - 3:30 PM Stream A: Algorithm: Creating and Using them to Strengthen your AML Plan

This session is available for a solution provider to present

Stream B: Emerging Threats In Financial Crime, Investigations & Mitigating Risk

2:10 PM - 2:50 PM Stream B: Case Study: Conquering the Complexities and Risks of Third-Party Resilience

Tom O’Callaghan, Head of Risk & Compliance, Challenger Limited
  • Understanding reliance when it comes to third parties conducting some or all elements of CIP
  • Identifying the benefits and risks of third-party AML/KYC contracted reliance and whether it is the best option for your institution
  • Developing a robust process for internal AML/KYC reliance between business units and/or corporate functions that meet regulatory expectations

Tom O’Callaghan

Head of Risk & Compliance
Challenger Limited

Stream B: Emerging Threats In Financial Crime, Investigations & Mitigating Risk

2:50 PM - 3:30 PM Stream B: Case Study: Implementing New Technologies and Tools in order to Target Counter Terrorism’s New Avenues

John Alfano, Senior Director, Global Financial Crimes Compliance, PayPal
  • Examining social media data to identify SARS and potential red flags that suggest potential terrorist support
  • Mining construction of digital footprints to assist in identifying terrorists and their funding networks
  • Moving the fusion of data collected to increase the comprehensiveness and efficacy of CTF

John Alfano

Senior Director, Global Financial Crimes Compliance
PayPal

3:30 PM - 4:00 PM AFTERNOON TEA & NETWORKING BREAK

4:00 PM - 4:40 PM AUSTRAC Case Study: Updates and Reviews from the Current Pending Cases in Australia

Tony Prior, Director, Supervision, AUSTRAC

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Tony Prior

Director, Supervision
AUSTRAC

4:40 PM - 5:20 PM Champagne Roundtable

Delegates will separate and choose a roundtable to participate in. Each roundtable will have a facilitator that will organise the collaboration of the topic. At the end of the time allocation one delegate will report back to the whole audience and give a summary of the discussions their table generated.

Table One

4:40 PM - 5:20 PM Hot Topic: Recruiting and Retaining Top AML Talent

Liz Knight, General Manager, Operational Risk and Compliance, AMLCO, Kiwibank NZ
  • What are the best methods for providing ongoing training to ensure continuing AML team proficiency?
  • How can we ensure documenting essential compliance functions to secure adequate management resources?
  • What are the best strategies to implement in strengthening retention and AML expertise by supporting staff professional development?

Liz Knight

General Manager, Operational Risk and Compliance, AMLCO
Kiwibank NZ

Table Two

4:40 PM - 5:20 PM Approaches for Detecting and Reporting Tax Evasion

Tom O’Callaghan, Head of Risk & Compliance, Challenger Limited
  • What are the best practices to resolve alerts that indicate potential tax evasion?
  • How can we create an approach to tax evasion to ensure adequate monitoring for red flags?
  • How do we deal with different red flag situations like invoice manipulation, large currency transactions and asset concealment?
  • What are some international regulatory trends that we should be referencing to prepare us for evolving evasion crimes?

Tom O’Callaghan

Head of Risk & Compliance
Challenger Limited

Table Three

4:40 PM - 5:20 PM Examining Automated Transactions Monitoring Methods and Tools

  • How can we review guidance to meet heightened regulatory expectations for automated transaction monitoring risks?
  • How can we use statistical modeling to qualify false negative rates?
  • What are the best practices for validating these automated transaction monitoring models to solidify accurate outcomes?

Table Four

4:40 PM - 5:20 PM Sanctions Insight: Risk-based Approach & Oversight

Justine Braithwaite, Assistant Secretary, Sanctions, Treaties and Transnational Crime Legal Branch, DFAT
  • How can we conduct OFAC risk assessments to determine political sanctions-related issues?
  • What are the best methods for developing protocols on alert responses to ensure escalation and investigation of sanction risks?
  • What are the best ways to create objective metrics to mitigate sanctions risks (client profile, geography and business productivity)?

Justine Braithwaite

Assistant Secretary, Sanctions, Treaties and Transnational Crime Legal Branch
DFAT

5:20 PM - 5:20 PM END OF CONFERENCE DAY ONE