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Annual Country Conference / Symposium Series- “Enhanced AML and Financial Crime Tools & Techniques”

10th Annual Tokyo Conference 5 September 2019 | Tokyo, JAPAN

Conrad Tokyo 1-9-1 Higashi-Shinbashi, Minato-ku, Tokyo, Japan

ナショナルコンファレンス/シンポジウム・シリーズ

継続的なマネーローンダリング/テロ資金供与/金融犯罪対策 - 現状と課題

第 10回東京コンファレンス

令和元年９月 5日（木）

コンラッド東京

東京都港区東新橋 1-9-1

(Simultaneous Translation between English and Japanese will be provided )

（英語・日本語同時通訳付）

08:00 – 09:00 Registration and Morning Tea

受付・ネットワーキング

09:00 – 09:15 Welcome Remarks

主催者挨拶

Masahiko Hibino, CAMS, Country Head of Japan, ACAMS

日比野正彦、CAMS、ACAMS日本代表

Hue Dang, CAMS-Audit, Head of Asia Pacific, ACAMS 09:15 – 09:45 KEYNOTE: Current Status and Issues of AML/CTF Developments Affecting Financial Institutions in Japan

基調講演: 「金融機関等におけるマネー・ローンダリング及びテロ資金供与対策の現状と課題」

Speaker 講演者:

Hiroshi Ozaki, CAMS, Director, AML/CFT Policy Office, Strategy Development and Management, Financial Services Agency, Japan

尾崎 寛 氏、CAMS、マネーローンダリング・テロ資金供与対策企画室長、総合政策局、金融庁

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09:45 – 11:00 Regulatory Update: Analyzing Regional AML Trends and New Developments

講演１：「最新規制動向：アジア地域の AML動向と新たな展開」

Assessing recent regulatory actions and guidance to establish best practices for meeting evolving

regulatory expectations in APAC and global compliance efforts

アジア地域及びグローバルなコンプライアンスへの取り組みに対する規制当局の要請を満足させるベスト・プ

ラクティス構築に向けた規制当局のアクション及びガイダンスの評価

Detailing new and upcoming regulatory changes in Hong Kong, Singapore and other APAC

jurisdictions to adjust oversight systems as warranted

監督体制に関する香港、シンガポールとアジア地域の規制変化

Reviewing regulatory developments in the insurance and brokerage sectors

保険・証券業界の規制動向

Moderator モデレーター:

Hue Dang, CAMS-Audit, Head of Asia Pacific, ACAMS

Speakers講演者:

David Cope, Managing Director and Head of Financial Crime Compliance, Goldman Sachs Asia LLC Rod Francis, Senior Managing Director, FTI Consulting (Hong Kong) Ltd

11:00 – 11:20 Networking and Refreshment Break

休憩・ネットワーキング

11:20 – 11:35 The Anti-Financial Crime Professional of the Future

未来の金融犯罪対策プロフェッショナル

Rohit Sharma, CAMS, President & Managing Director, ACAMS 11:35 – 12:20 Sharing Best Practices: How Securities Companies and Banks can Share Best Practices on AML/CTF

講演 2：「ベストプラクティスの共有： AML/CTF関する証券会社、銀行が出来得る情報共有方法」

Defining institutional risk appetite and tolerance to build awareness by frontline staff

第一線スタッフ社員の意識向上のための金融機関のリスクレベルと許容範囲の定義

Conducting risk-based assessment and training to improve the AML culture of compliance in areas such as CIP, KYC/CDD, and product lines

CIP, KYC/CDD と商品ライン領域の AML カルチャー向上のためのリスクベース評価とトレーニングの実施

Auditing AML controls and producing governance metrics to improve efficiency and effectiveness

効率と効果向上のための AML統制の監査とガバナンス・メトリックスの構築

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Speakers 講演者:

David Cope, Managing Director and Head of Financial Crime Compliance, Goldman Sachs Asia LLC Toru Yamazaki, CAMS-Audit, Global Financial Crimes Compliance Japan Head, Japan Compliance, J.P. Morgan

山崎 亨 氏、CAMS-Audit、 コンプライアンス部 グローバル・フィナンシャル・クライム・コンプライアンス 日本統括責

任者、 JP モルガン・チェース銀行東京支店

12:20 – 13:25 Networking Luncheon

昼食・ネットワーキング

13:25 – 15:10

PANEL SESSION: Practical Examples and Best Practices for Implementation of the Latest Japanese

Regulations and Preparation for coming FATF Mutual Evaluation for Japan

パネル･セッション：「最新の国内規制の実施及び FATF 対日相互審査の準備に関する具体的な事例とベストプ

ラクティス」

Moderator モデレーター:

Masashi Ono, CAMS, Senior Manager, Financial Services, KPMG AZSA LLC

⼩野 勝司 氏、 CAMS、金融事業部、シニアマネージャー 、有限責任あずさ監査法⼈

Speakers 講演者:

Takuya Imada, Deputy General Manager, AML Planning Team, Anti-Money Laundering Office, Compliance Promotion Department, Mizuho Bank, Ltd

今田 卓也 氏 、次長、AML企画チーム、マネー・ローンダリング対策室 、コンプライアンス推進部、みずほ銀行

Daisuke Nagafuchi, CAMS, Japan Head of Financial Crimes Compliance, Financial Crimes Office for Japan, MUFG Bank, Ltd

永渕 大輔 氏、CAMS、室長, グローバル金融犯罪対策室（日本）、三菱 UFJ銀行

Fumiteru Ueno, CAMS, General Manager, Anti Money Laundering & Financial Crime Prevention Dept. General Affairs Department, Sumitomo Mitsui Banking Corporation

上野 文照 氏、CAMS、AML金融犯罪対応室長、総務部、三井住友銀行

15:10 – 15:30 Networking and Refreshment Break

休憩・ネットワーキング

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15:30 – 16:00 Case studies in AML Governance and Corporate Culture Failures: Behind the Most Recent Money Laundering Cases

講演３：「ケース・スタディ：AML ガバナンスと企業カルチャーの失敗-最新のマネロンケースの実態に迫る」

Reviewing the governance and oversight issues around Danske’s Estonia Branch

ダンスケ銀行エストニア部門のガバナンスと監督管理問題の検証

Analyzing the flow of funds from Danke Bank and the billions of dollars in criminal proceeds

ダンスケ銀行からの資金の流れの分析と何十億ドルもの犯罪収益

Examining Danske’s legal settlement to identify the role of lax senior management, AML controls and transactional monitoring failure to maintain required AML programs

ダンスケ銀行の法的決着から見える、要求されている AML プログラムが実施されていなかったために浮上し

た、上層経営幹部の問題となる役割、ＡＭＬ統制と不十分な取引モニターリング

Moderator モデレーター:

Dr. William Scott Grob, CAMS-FCI, AML Director – APAC, ACAMS

Speaker 講演者:

Bill Majcher, President & Global Head of Recovery Operations, EMIDR 16:00 – 17:00 WORKSHOP: Digital Identity and eKYC: How to Look at the Growing Technology Requirements and

Financial Crime Risks

ワークショップ：

「デジタル認証と eKYC: 必要とされる技術要件の拡大と金融犯罪リスク」

Analyzing how digital identities and eKYC fields used in digital banking and compliance systems

デジタルバンキングとコンプライアンスシステムでのデジタル認証と eKYC フィールドの活用分析

Reviewing examples for practical guidance on how to strengthen AML/CTF requirement in digital channels

デジタルチャンネルにおける AML/CFT要件強化のためのプラクティカルガイダンスの実例評価

Detailing technology and project management best practices for understanding potential AML vulnerabilities

今後の AML に対する脆弱性の理解を深めるための技術詳細とプロジェクトマネジメント・ベストプラクティス

Moderator モデレーター:

Dr. William Scott Grob, CAMS-FCI, AML Director – APAC, ACAMS

Speakers 講演者:

Motoyuki Kajiki, General Manager, Compliance Division, Jibun Bank Corporation

加治木 基之 氏、コンプライアンス統括部長、じぶん銀行

Kazumasa Miyazawa, Sora Director, Soramitsu, Co., Ltd.

宮沢 和正 氏、ソラ・ディレクター 、ソラミツ 株式会社

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17:00 – 17:10 Wrap-Up & Key Takeaways

総括

Masahiko Hibino, CAMS, Country Head of Japan, ACAMS

日比野正彦、CAMS、ACAMS日本代表

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KEYNOTE 基調講演

Hiroshi Ozaki, CAMS Director, AML/CFT Policy Office, Strategy Development and Management Financial Services Agency, Japan Mr. Ozaki joined Financial Services Agency, Japan (“JFSA”) on February 1, 2018 as a Director of AML/CFT Policy Office which was newly established in the JFSA in February 2018 in order to enhance the control of risk of money laundering and terrorist financing (“ML/FT”) and establish a more effective regime to combat ML/FT in the Japanese financial industry. Prior to joining the FSA, Mr. Ozaki had been working for thirty years in private financial sector and public sectors in Japan and overseas. He was a General Manager of Financial Crime Prevention Department of Sumitomo Mitsui Banking Corporation (“SMBC”) and began his career at the Mitsui Bank, currently SMBC, in 1988, where he served in various sections in domestic and overseas offices like New York, London and Dubai, in planning, marketing and compliance. Mr. Ozaki earned his Master of Business Administration from Stern School of Business, New York University and Bachelor of Economics from the University of Tokyo, and he is a Certified Anti-Money Laundering Specialist (“CAMS”). He is also the member of Japan Association of International Security and Trade, Chartered Member of the Securities Analysts Association of Japan, and Certified International Investment Analyst.

尾崎 寛 氏、CAMS

マネーローンダリング・テロ資金供与対策企画室長、総合政策局

金融庁

88年東京大学経済学部経済学科卒、三井銀行入行。

91年大蔵省出向（国際金融局調査課）、93年外務省出向（在ワシントンＤＣ日本大使館財務班）等を経て、

01年三井住友銀行米州統括部(在ニューヨーク)、13年同欧阿中東本部（在ロンドン）、14年同中東総支配⼈兼

DIFC(ドバイ)支店長。17年４月同総務部部付部長兼ＡＭＬ金融犯罪対応室長を経て 18 年 1月末同行を退職し、

18年 2月から現職。

米国ニューヨーク大学経営学修士（MBA）、米国公認アンチ・マネー・ローンダリング・スペシャリスト（CAMS）。

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SPEAKER FACULTY 講演者

David Cope Managing Director and Head of Financial Crime Compliance Goldman Sachs Asia LLC Mr. David Cope is head of Financial Crime Compliance for Asia. He joined Goldman Sachs in 2016 as a managing director. Prior to joining the firm, Mr. Cope was head of Global Financial Crimes Compliance in Asia Pacific at Bank of America Merrill Lynch. Before that, he was regional AML/CTF Compliance manager for Asia at Morgan Stanley. Mr. Cope was also a partner at KPMG China based in Hong Kong in the forensic practice. Before his career in Compliance, Mr. Cope worked for the Hong Kong police for 17 years, where he held various roles in the Commercial Crime Bureau, Organized Crime and Triad Bureau, and Narcotics Bureau. Mr. Cope is founder and board member of the Hong Kong Chapter of the Association of Certified Anti-Money Laundering Specialists. Mr. Cope earned a Bachelor of Laws, with honors, from the University of London and a Master of Social Sciences in Criminology from the University of Hong Kong. --------------------------

Hue Dang, CAMS-Audit Head of Asia Pacific ACAMS Ms. Dang is the Head of Asia Pacific of ACAMS, having established its regional head office in Hong Kong in 2008. Ms. Dang has more than 25 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. --------------------------

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Rod Francis Senior Managing Director FTI Consulting (Hong Kong) Ltd Mr. Francis is a Compliance professional with a career in the financial services industry spanning 30 years. For the last eleven years Mr. Francis has been based in Hong Kong covering the Asia Pacific (APAC) region and prior to this in London covering Europe, Middle East and Africa (EMEA). He currently works for FTI Consulting (Hong Kong) Limited and joined in December 2018 to create and lead their Financial Crime Compliance (FCC) practice for the APAC region. Prior to joining FTI Mr. Francis was Citibank’s APAC Anti-Money Laundering (AML) Compliance Head for eight years (between 2010 and 2018). This role also encompassed responsibility for AML Compliance for the Global Consumer Bank for Europe, Middle East and Africa (EMEA). In APAC Mr. Francis also worked for UBS (between 2007 and 2010) where he held a number of senior management positions including APAC Head of Central Compliance and the Global Head of Regulatory Reporting and APAC Head of AML and Sanctions Compliance. Prior to 2007 Mr. Francis was based in London covering the EMEA region working for tier one banks. Amongst Compliance roles for Financial Institutions, Mr. Francis was the EMEA Regional Head of AML and Sanctions for both Credit Suisse and Morgan Stanley, incorporating Central Compliance and Operations Compliance for each respectively. Mr. Francis has a broad in-depth knowledge and experience in all aspects of AML, Sanctions and Anti-Bribery Compliance, is a member of ACAMS, the Director of Membership and Board Member of the Hong Kong Chapter of ACAMS. Mr. Francis regularly speaks at industry events including ACAMS seminars. --------------------------

Dr. William Scott Grob, CAMS-FCI AML Director – APAC ACAMS Dr. Grob has over 25 years of financial and banking expertise. His most recent role was as Regional Head of Affiliates Management, HSBC, where he worked on mitigating financial crime and correspondent banking risks across Asia. His 12-year career at the bank also included managing risk within the Equity/FX prime brokerage business, Structured Funds business, and Hedge Fund units. Dr. Grob earned a Bachelor’s degree from Boston University, a Master of Arts from George Mason University, a certificate from Harvard Business School’s General Management Program, and a Doctorate of Management from SMC University (USA), where his dissertation was focused on correspondent banking- “IMPACT OF CORRESPONDENT BANK ENHANCED DUE DILIGENCE PRACTICES.” Also, he has designations from the Chartered Alternative Investment Analyst (CAIA) Association, and Global Association of Risk Professionals (FRM). --------------------------

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Takuya Imada Deputy General Manager, AML Planning Team, Anti-Money Laundering Office, Compliance Promotion Department Mizuho Bank, Ltd Joined Compliance Promotion Department of Mizuho Bank in 2018 as a Deputy General Manager of Anti-Money Laundering Office and have overseen global financial crimes compliance functions of Mizuho Bank. Prior to joining the Anti-Money Laundering Office, he was a Deputy General Manager of Internal Audit to oversee and establish global internal audit framework of Mizuho Bank. He also worked for a Joint General Manger of Asia & Oceania Regional Head in Singapore after 9 years experiences of Merger & Acquisition Advisory business in Mizuho Bank. He holds a MBA from Simon Business School, University of Rochester, and a Master Degree of Kyoto University Graduate School of Science.

今田 卓也 氏

コンプライアンス推進部 マネー・ローンダリング対策室 AML企画チーム 次長

株式会社みずほ銀行

2018年より現職にてみずほ銀行のマネー・ローンダリング対策に従事。マネー・ローンダリング対策室以前は内部監査のグロー

バル企画、アジア・オセアニアの地域統括（シンガポール）、M&Aアドバイザリー業務等に従事。

ロチェスター大学経営大学院修了（M.B.A.）京都大学大学院理学研究科修了

--------------------------

Motoyuki Kajiki General Manager, Compliance Division Jibun Bank Corporation General manager of Compliance Division in Jibun Bank Corporation. Experienced credit and operational risk management as well as compliance in MUFG. Master degrees in science and business administration.

加治木 基之 氏

コンプライアンス統括部長

じぶん銀行

慶応義塾大学理学修士、米国ロチェスター大学経営学修士。三菱UFJ銀行にて信用リスク管理、オペレーショナルリスク管

理、コンプライアンスに従事。2018年より じぶん銀行コンプライアンス統括部長。

--------------------------

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Bill Majcher President & Global Head of Recovery Operations EMIDR Bill Majcher is a highly experienced professional with 35 years of combined experience in public service, international finance, and capital markets. Mr. Majcher started his career as a Eurobond trader in London, England. He later used this experience over a 23-year career with the Royal Canadian Mounted Police (RCMP), where Mr. Majcher enjoyed remarkable success in covert and public market investigations that often saw him working with law enforcement, intelligence, and securities regulators from around the globe. Mr. Majcher has experience as a Futures and Options broker and trader in both Canada and the United States and has lectured extensively on abuse within the international capital markets, including sophisticated money laundering. Mr. Majcher is recognized as an expert on money laundering in the United States Federal Court for the Southern District of Florida and the Supreme Court of British Columbia and the Ontario Superior Court of Justice. Today Mr. Majcher is Co-Founder of EMIDR Limited, a highly specialised Corporate Risk Advisory focused on Asset Recovery and Cyber Security. EMIDR works closely with various Governments concerned with Financial Crime, Money Laundering, and Tax Evasion. --------------------------

Kazumasa Miyazawa 宮沢 和正 氏

Sora Director ソラ・ディレクター

Soramitsu, Co., Ltd. ソラミツ 株式会社

Kazumasa Miyazawa is the SORA Director of Soramitsu Co., Ltd. which is the original developer of Hyperledger Iroha. He is also appointed professor of Tokyo Institute of Technology and member of ISO TC307 blockchain international standardization committee. In 2001, he founded bitwallet inc., which is the first and most popular electronic money company in Japan and became financial council member of Financial Service Agency in 2008. Soramitsu contributed to add unique features and supported official release of Hyperledger Iroha V1.0. Soramitsu has lots of use cases such as digital currency with National Bank of Cambodia, decentralized digital depository with the Moscow Stock Exchange Group, digital identity with Indonesian Bank and others in Japan. He has experience of speech at international blockchain conference in Japan, Singapore, China, Korea, Thailand, Indonesia and Laos.

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Daisuke Nagafuchi, CAMS Japan Head of Financial Crimes Compliance, Financial Crimes Office for Japan MUFG Bank, Ltd Daisuke Nagafuchi（CAMS） is Japan Head of Financial Crimes Compliance at MUFG Bank’s Financial Crimes Office

for Japan. Mr. Nagafuchi has over 10 years of compliance experience including AML/CFT since 2011．Prior to the

current role, he was Global Head of Financial Crimes Compliance Planning of Global Financial Crimes Division based in New York. Prior to that, he was Managing Director of Risk Management & Compliance Division for Global Business & Markets and Managing Director of Management Information Office.

永渕 大輔 氏、CAMS

室長, グローバル金融犯罪対策室（日本）

三菱 UFJ 銀行

永渕 大輔（CAMS） 三菱UFJ銀行 グローバル金融犯罪対策室（日本）室長。2015年から3年半にわたる、アメリカ

（ニューヨーク）におけるグローバル金融犯罪対策に係る実務、勤務を経て現職。2011年より、一環としてAML/CFTを含む

コンプライアンス業務に従事。前職、グローバル金融犯罪対策部（在ニューヨーク）副部長（企画のグローバルヘッド）、国

際市場リスク統括部次長、企画部経営情報室次長。

-------------------------- Masashi Ono, CAMS Senior Manager, Financial Services KPMG AZSA LLC Mr. Ono has a significant background in AML/CFT as Japanese regulator. He used to work for Japan Financial Services Agency for more than 10 years before joined KPMG AZSA LLC in August 2016. In particular, he was deeply involved in Japanʼs FATF 3rd round Mutual Evaluation as a delegation from JFSA; he also led Japanese FIU transference project from JFSA to National Police Agency. In addition, he was seconded to BSA/AML Policy Division, Office of the Comptroller of the Currency as well as to New York City as JFSA Resident Examiner. He was awarded Master of Laws from National University of Singapore. He is a CAMS and Chartered Member of the Securities Analysts Association of Japan.

⼩野 勝司 氏、CAMS

金融事業部、シニアマネージャー

有限責任あずさ監査法⼈

岡山大学法学部卒業、シンガポール国⽴大学ロースクール修了（ LL.M.）。 1999 年財務省四国財務局入局後、

2003 年金融庁を経て、 2016 年 8 月あずさ監査法⼈入所。金融庁在籍中は、犯収法制定に伴う FIU（資金情報機

関）の警察庁への組織移管プロジェクト、FATF 第三次対日相互審査対応、検査局ニューヨーク駐在、OCC（米国通貨

監督庁）BSA/AML Policy Division 出向等に従事。現在は大⼿金融機関向け AML アドバイザリー業務等に従事。

CAMS、日本証券アナリスト協会検定会員。

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Rohit Sharma, CAMS President & Managing Director ACAMS Rohit Sharma, CAMS, is the President & Managing Director of the Association of Certified Anti-Money Laundering Specialists (ACAMS). Rohit joined ACAMS in January 2019 with significant global experience in delivering financial and social impact across many sectors including for-profit education, travel, aviation, and consulting. Prior to ACAMS, Rohit spent close to a decade with Laureate Education Inc., a leader in higher education. In his most recent role there, Rohit led a global digital transformation initiative aimed at improving student experience starting with Laureate’s key Latin American markets of Brazil & Peru. Prior to that he spent several years in South-East Asia where he led the transformation of Laureate’s Malaysia business first as CFO, COO and eventually as CEO. That transformation led to significant value creation during his tenure in addition to delivering the highest student outcomes and employee engagement results registered. Rohit’s career prior to Laureate was spent across US, India and Singapore mainly in the travel industry where he was part of finance and strategy teams of Private Equity-backed enterprises. Early in his career, Rohit also worked as a management consultant with the Boston Consulting Group (BCG) where he advised Fortune 100 clients on strategic and operational improvement issues. Rohit has a B.Tech from IIT Kanpur in India and an MBA from the Darden Business School at the University of Virginia, USA. --------------------------

Toru Yamazaki, CAMS-Audit Global Financial Crimes Compliance Japan Head, Japan Compliance J.P. Morgan

Toru Yamazaki is the Japan Head of Global Financial Crimes Compliance at J.P. Morgan. As a member of Japan Compliance Department, He oversees all financial crimes compliance functions of J.P. Morgan in the Country. He joined J.P. Morgan Japan in 2013 to lead the financial crimes compliance initiatives for the Country, and now has oversight of the entire program in Japan. Prior to joining J.P. Morgan, he worked for a European global financial institution where he held various leading positions including Japan Head of Anti-Money Laundering Compliance as well as Advisory for Banking and Trade Surveillance.

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He holds a BA in Law from Tokyo University, and is an Advanced CAMS Certified Anti Money Laundering Audit Specialist (CAMS-Audit).

山崎 亨 氏、CAMS-Audit

コンプライアンス部 グローバル・フィナンシャル・クライム・コンプライアンス 日本統括責任者

JP モルガン・チェース銀行東京支店

2013年 2月より現職。日本における J.P.モルガンのフィナンシャル・クライム・コンプライアンスを統括。

J.P.モルガン入社以前は欧州系グローバル金融機関で日本におけるマネー・ロンダリング対策コンプライアンスの統括の他、バン

キング・コンプライアンス・アドバイザリーやトレード・サーベイランスにも従事しており、その経験を活かし幅広く金融犯罪対策や不

正取引防止等に取り組んでいる。

東京大学法学部卒、公認上級アンチマネー・ロンダリング監査スペシャリスト（CAMS-Audit）。

-------------------------- Fumiteru Ueno, CAMS General Manager, Anti Money Laundering & Financial Crime Prevention Dept. General Affairs Department Sumitomo Mitsui Banking Corporation.

上野 文照 氏、CAMS

総務部、AML金融犯罪対応室長

株式会社三井住友銀行

平成6年 3月 早稲田大学法学部卒業

4月 株式会社住友銀行入行 麹町支店

平成10年 4月 金融商品開発部

7月 ニューヨーク大学ロースクール留学（11年5月卒業）

平成12年 3月 法務部

平成13年10月 総務部 コンプライアンスグループ

平成16年10月 総務部 総務グループ

平成20年10月 総務部 総務グループ

平成21年 4月 総務部（大阪）

平成23年 1月 総務部 総務グループ

平成24年 1月 総務部 ＣＯＩグループ長

11月 総務部 金融商品コンプライアンス室 情報管理グループ長

平成26年 4月 総務部 総務グループ長

平成27年 4月 米州統括部（ニューヨーク）上席推進役

平成28年 4月総務部（シンガポール）上席推進役兼 コンプライアンス統括オフィサー（アジア・大洋州）

平成29年 4月 総務部（大阪）副部長

平成30年 4月 総務部 AML金融犯罪対応室 室長

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Platinum Sponsor/プラチナ・スポンサー

KPMG AZSA LLC

有限責任あずさ監査法⼈

KPMG AZSA LLC hold approximately 6,000 people in major cities in Japan, providing audit, attestation, and advisory services such as financial advisory services and preparation for initial public offerings. We also offer professional services in specialized fields including financials, manufacturing, retail, IT, media, government, and healthcare. As a member of KPMG International, KPMG AZSA LLC provides clients with a consistent set of professional services globally through a network in 153 countries.

有限責任 あずさ監査法⼈は、全国主要都市に約 6,000名の⼈員を擁し、監査や各種証明業務をはじめ、財務関連アド

バイザリーサービス、株式上場支援などを提供しています。

金融、情報・通信・メディア、製造、官公庁など、業界特有のニーズに対応した専門性の⾼いサービスを提供する体制を有す

るとともに、4大国際会計事務所のひとつである KPMG インターナショナルのメンバーファームとして、153 ヵ国に拡がるネッ

トワークを通じ、グローバルな視点からクライアントを支援しています。

https://home.kpmg.com/jp/ja/home/about/azsa.html

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Silver Sponsors/シルバー・スポンサー

Bureau van Dijk

ビューロー・ヴァン・ダイク

Bureau van Dijk, a Moody’s Analytics company, captures and treats private company information for better decision making and increased efficiency. Its products combine data from regulatory and other sources, including over 160 information providers, to deliver the richest, most reliable private company information, corporate structures, beneficial ownership and deal information in the market. Bureau van Dijk’s Orbis database provides information on more than 310 million private companies in all countries worldwide. Bureau van Dijk standardizes the content so it’s easy to compare companies internationally. Orbis also incorporates powerful software and contemporary data visualisation tools to help users interrogate and manipulate the information for a range of research needs. Our detailed, reliable information helps you with compliance in the areas of AML, OFAC and general reputation risk management and business partner due diligence.

ビューロー・ヴァン・ダイク (ムーディーズ・アナリティックスグループ)

企業情報・M&A情報などをデータベース化し、海外ビジネスや海外企業調査などでご活用いただける、データベースソリューシ

ョン「Orbis」を提供しております。各国の 160以上の信用調査会社・情報機関・登記当局などから提供された世界 3.1億

件の非上場・上場企業情報を保有しております。「Orbis」は実質的所有者（ベネフィシャルオーナー）の特定、詳細な出資

関係や OFACの 50％ルールにも対応しており、AML対策ソリューションとして多くのグローバル金融機関に広くご利用いただ

いております。

https://www.bvdinfo.com/en-gb

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Silver Sponsors/シルバー・スポンサー

Dow Jones

ダウ・ジョーンズ リスク&コンプライアンス

Dow Jones Risk and Compliance is a global provider of risk management and regulatory compliance solutions. With a global team of expert researchers covering more than 60 languages, we deliver enriched risk data, investigative research tools and outsourced services to organizations around the world. Our market-leading data solutions help companies navigate Anti-Money Laundering, Anti-Bribery and Corruption, Economic Sanctions, Third Party Due Diligence, and Commercial Risk operations.Providing compliance professionals with flexible delivery options and a professional services offering, our compliance solutions empower fast and informed decision-making - without compromising on coverage.

ダウ・ジョーンズ リスク&コンプライアンスは、リスク管理および規制コンプライアンスに関するグローバルプロバイダーです。世界６

０以上の言語を網羅する専門分析担当から構成されるグローバルチームにより、豊富なリスクデータ、分析調査ツール、アウト

ソーシングサービスを世界のあらゆる企業・機関に配信しています。市場をリードする当社のデータソリューションは、アンチ・マネ

ーロンダリング、贈収賄防止・経済制裁対策、第三者デューデリジェンス、コマーシャルリスクに関連する業務のサポートをしま

す。コンプライアンス担当者にとって柔軟なオプションおよび専門性の⾼いサービスをご提供し、対応可能範囲を制限することの

ないよう、迅速かつ正確な情報に基づく正しい意思決定を促します。

https://www.dowjones.com/products/risk-compliance/

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Bronze Sponsors/ブロンズ・スポンサー NIKKEI Media Marketing, Inc.

日経メディアマーケティング株式会社

Nikkei Media Marketing provides accurate and highly reliable information from the Nikkei group and global digital products and services. In January 2019 signed a sales agreement with Acuris Risk Intelligence (ARI), UK-based Company, one of the world's five largest database providers. In the rapidly expanding global risks and compliance-related markets, we help companies manage their business partners through foreign PEPs, Economic Sanctions, Anti-Money Laundering, negative media information, and Enhanced Due Diligence. ARI, an industry-leading company comprised of enriched databases, latest technology, and a global team of 120 compliance experts including ACAMS certified expert provides a variety of services to financial institutions and companies around the world.

日経メディアマーケティングは、日本経済新聞社グループと海外企業のデジタル商品・サービスを中心に、様々な正確で信頼

性の⾼い情報を取り扱っております。当社は 2019年 1月、世界 5大データベース提供元のひとつ、英国の Acuris Risk

Intelligence(ARI社)と日本での販売契約を締結しました。急速に拡大する世界のリスクおよびコンプライアンス市場におい

て、外国 PEPs(公的要⼈)、制裁者情報、アンチ・マネーロンダリング(AML)、否定的なメディア情報、デューデリジェンスから

企業の取引先の管理を支援しております。⾼度なデータベース、最新技術と 120名のコンプライアンス専門担当（ACAMS

認定者含む）で構成される業界トップクラスの ARI社から様々なサービスを世界の金融機関・企業に提供しております。

https://www.nikkeimm.co.jp/

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Bronze Sponsors/ブロンズ・スポンサー

NTT DATA Getronics

NTT データ ジェトロニクス

A leading company in the area of payment systems, NTT DATA Getronics, has been providing solutions to the financial industry for nearly 50 years. Our extensive service line incorporates our cumulative knowledge of banking practices with ICT, and has a proven track record of maximizing the business performances of our clients. Concurrently, we have been closely monitoring the level of anti-money laundering measures from a global perspective and proudly providing our in-house developed AML system “Oculus® series” to various financial institutions. Making use of AML support experience for financial institutions in Japan and overseas with our own CAMS-certified specialists, we consistently provide invaluable support to financial institutions' AML measures.

NTT データ ジェトロニクスは、約 50年に亘って金融業界にソリューションを提供してまいりました。

AML の分野においては 2000年当初よりマネーロンダリング対策水準をグローバルな視点で注視しており、自社開発の AML

システム「Oculus® シリーズ」は多くの金融機関様にご利用いただいています。

また、国内外の金融機関向け AML対応の経験を生かし、米国 CAMS の認定を受けた専門家による

マネーロンダリング対策の現状分析、業務やプロセス改善など、国際水準のリスク・ベース・アプローチに基づき金融機関様の

AML対応を一貫して支援しています。

https://www.nttdata-getronics.co.jp/

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Bronze Sponsors/ブロンズ・スポンサー

Tokyo Shoko Research, Ltd.

株式会社 東京商工リサーチ

Tokyo Shoko Research, Ltd., with business partnership with The Dun & Bradstreet Corp. (D&B), an American corporation having the world largest commercial database, has collected, compiled and constructed own company information and data which is one of the leading company databases in Japan. We provide the information on one stop, together with that of D&B which is about more than 335 million companies worldwide, making great contribution to international business transactions by Japanese companies every day. We support our customers to verify the existence of the business partners, their corporate linkage, board members, owner, shareholder and identify the ultimate beneficial ownership (UBO) using our global data and technology. We also provide our customers with D&B compliance solutions to allow them to carry out efficient and comprehensive due diligence combine with the many sources such as sanctions lists, PEP list.

東京商工リサーチは、世界最大の企業データを保有するアメリカ企業 Dun & Bradstreet（D&B）社と業務提携し、弊社

が収集、構築した日本屈指の企業データと D&B が持つ世界 3億 3,500万件以上の企業データをワンストップで提供、日

本企業の国際取引に日々貢献しています。

コンプライアンス分野においてはグローバルデータとテクノロジーを活用し、取引先の実在性、資本関係、役員、株主等の確

認、そして実質的所有者(UBO)の特定を支援しています。また制裁リスト、PEP リストなどとシームレスに結合することにより、

包括的かつ効率的なデューデリジェンスを可能にする D&B ソリューションを提供しています。

http://www.tsr-net.co.jp/