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Annual ACAMS Symposium Series 4th Symposium on Enhanced AML and Financial Crime Tools and Techniques

13 June 2018 | Shanghai CHINA The Kunlun Jing An

No. 250 Hua Shan Road Shanghai, China

公认反洗钱师协会研讨会系列

第四届加强反洗钱/反金融犯罪实用工具和技巧

2018 年 6月 13 日 | 中国上海

静安昆仑大酒店

中国上海市华山路250号

(Simultaneous Translation between English & Mandarin Chinese will be provided.)

（提供英中同传翻译）

08:00 – 09:00 Registration and Morning Tea 登记和早茶

09:00 – 09:10 Welcome Remarks 欢迎词

Hue Dang, CAMS-Audit, Head of Asia, ACAMS 公认反洗钱师协会 亚太区执行长 邓芳慧 (CAMS-Audit)

09:10 – 10:15 Regulatory Update: Analyzing Regional AML Trends and New Developments 法规最新进展：分析地区反洗钱监管趋势与最新动向

Updating on the current changes in China and Taiwan’s AML regulatory framework 介绍当前大陆和台湾反洗钱监管框架的改变

Discussing for the development of the 4th-Round of FATF Mutual Evaluations on your AML

program 讨论第四轮 FATF（金融行动特别工作组）互评的最新进展及对机构反洗钱制度的影响

Reviewing recent regulatory changes in Hong Kong, Singapore and throughout the APAC region 分析香港、新加坡与整个亚太地区近期的监管变化

Moderator 主持人：

Hue Dang, CAMS-Audit, Head of Asia, ACAMS 公认反洗钱师协会 亚太区执行长 邓芳慧 (CAMS-Audit)

Speakers 讲者：

ZHOU Lan, Deputy General Manager, Legal & Compliance Department, Bank of China Shanghai

Branch 中国银行上海市分行 法律与合规部副总经理 周岚

Speaker of People’s Bank of China Shanghai Branch 来自中国人民银行的专家

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10:15 - 10:30 Networking and Refreshment Break 交流和茶歇

10:30 - 12:00 Combining RegTech Innovations of AI, Robotics, and Automation into Your Compliance

Programme 将人工智能、机器人和自动化等监管科技创新技术融入合规制度

Exploring the rewards, risks and unique AML challenges of banking FinTech businesses 探讨银行业金融科技企业将获得哪些回报，面临哪些风险和特殊的反洗钱挑战

Deploying Robotics, Machine Learning, Data Analytics, Automation and Artificial Intelligence in

AML Programs 在反洗钱制度中运用机器人、机器学习、数据分析、自动化和人工智能等技术

Examining RegTech solutions for monitoring the latest AML/CTF risks 探讨旨在监控新型反洗钱/反恐融资风险的监管科技解决方案

Moderator 主持人：

Lynn Na Li, CAMS-Audit, Executive Director of Fraud Investigation and Dispute Services, Ernst &

Young (China) Advisory Limited 安永（中国） 审计及法证调查服务执行总监 李娜 (CAMS-Audit)

Speakers 讲者：

Dr. LU Jie, Chief Technology Officer, GRAPHEN Inc. 美商图策智能科技有限公司 首席技术官 吕洁博士

LU Zheng, Chief Compliance Officer, Circle China 世可中国公司 首席合规官 鲁政

12:00 - 13:30

Networking Luncheon 交流和午膳

13:30 - 15:00 Cybercrime: How It Happens, and How to Fight It 网络犯罪：原理与对策

Examining recent cybersecurity breaches to identify common attack points and strengthen

digital defenses 分析最近发现的网络安全漏洞事件，明确常见的攻击点，加强数字化防御

Developing an institutional response plan to ensure rapid responses to contain hacks and

manage threats such as ransomware and Distributed Denial of Service 制定制度性响应计划，确保快速响应，从而遏制黑客攻击，管理好勒索软件、分布式拒绝服务攻

击等风险

Creating a post-hack action plan to notify affected stakeholders, restore data systems integrity

and collaborate with law enforcement on investigations 制定黑客攻击后行动计划，通知受影响的利益攸关者，恢复数据系统完整性，协助执法部门展开

调查

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Moderator 主持人：

Joyce Hsu, CAMS-FCI, AML Director – North Asia, ACAMS 公认反洗钱师协会 反洗钱合规策略总监—北亚 许胧方 (CAMS-FCI)

Speakers 讲者：

Jojo Guo, CAMS, Director of Anti-Money Laundering Center, Ant Financial Services Group 蚂蚁金服集团反洗钱中心 郭倩婷 (CAMS)

Gerrey Zhou, Risk Management Department, Tencent 腾讯 腾讯财付通反洗钱中心高级总监 周治明

15:00 - 15:20 Networking and Refreshment Break 交流和茶歇

15:20 - 16:50 INTERACTIVE WORKSHOP

Strengthening Controls around Sanction Process and the implications on Beneficial Ownership

Determination 互动工作坊：加强对于制裁程序的控制及其对决定受益所有权的影响

Reviewing the latest Sanction changes from the United Nations and other governments, and

how they may impact your compliance process 回顾最近联合国和其他政府对制裁措施的变化，其如何影响机构的合规程序

Identifying the common weaknesses in your Sanction program and how to respond 分析制裁制度的普遍缺陷，并该如何反应

Working through a practical case-study that underscores sanction evasion and the implications

of understanding Beneficial Ownership 通过实际案例研究来强调制裁规避行为以及其对理解受益所有权的影响

Speakers 讲者：

David Cope, Managing Director and Head of Financial Crime Compliance, Goldman Sachs Asia LLC

Dr. William Scott Grob, CAMS, AML Director – APAC, ACAMS 公认反洗钱师协会 反洗钱合规策略总监—亚太区 William Scott Grob博士

16:50 - 17:00 Closing Remarks 结束语

Hue Dang, CAMS-Audit, Head of Asia, ACAMS 公认反洗钱师协会 亚太区执行长 邓芳慧 (CAMS-Audit)

Program is subject to change 活动内容有可能改变而不作另行通知，敬请留意。

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Speaker Faculty 讲者简介 (Surname in Alphabetical Order 根据英文姓氏字母排序)

David J. A. Cope Managing Director & Head of Financial Crime Compliance Goldman Sachs LLC Mr. Cope has over 25 years of experience in the financial crime and anti-money laundering space. Prior to joining Goldman Sachs, he was the Asia Pacific Head for Global Financial Crimes Compliance at Bank of America Merrill Lynch, previous to his time at Bank of America, he was the Regional AML/CTF Compliance Manager for Morgan Stanley Asia. Mr. Cope was also briefly a Partner at KPMG based in Hong Kong in the forensic practice dealing with AML/CTF and sanctions issues. In his Compliance roles Mr. Cope led multinational teams dealing with all aspects of financial crime risk management, including client on boarding, sanctions and corruption issues, suspicious activity detection and reporting, and financial crime risk assessments, as well as providing advice and counsel to bank senior management and business leaders for financial crime issues arising in the region. Prior to joining the private sector, Mr. Cope’s 17-year long career in the Hong Kong Police was mainly focused on the investigation and prosecuted serious complex financial crime and money-laundering, with postings to the Commercial Crime Bureau, Organized Crime and Triad Bureau and Narcotics Bureau. He was also part of the formulation and execution of the Hong Kong Police’s financial investigation policy and training including dealing with the Financial Action Task Force Mutual Evaluation process. Mr. Cope is a Member of the Hong Kong Chapter Board. --------------------------

Hue Dang, CAMS-Audit Head of Asia ACAMS Ms. Dang is the Head of Asia of ACAMS, having established its regional head office in Hong Kong in 2008. Ms. Dang has more than 20 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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邓芳慧 (CAMS-Audit)

亚太区执行长

公认反洗钱师协会 (ACAMS)

邓芳慧女士供职于公认反洗钱师协会 (ACAMS)，于2008年设立协会亚太区总部 (位于香港)并担任亚太区

执行长。邓芳慧女士在金融业有超过二十年的经验，曾担波士顿美国联邦银行 (Federal Reserve Bank) 审

查官、新加坡巴克莱资本投资银行 (Barclays Capital’s Investment Banking) 经理、新加坡花旗全球消费者

银行 (Citibank’s Global Consumer Banking Group) 业务发展总裁和香港汤姆森金融公司 (Thomson Financial)

亚太区业务发展总裁。邓女士在美国安默斯特学院 (Amherst College) 获荣誉文学士学位毕业，亦为美国

哈佛大学约翰.肯尼迪政府学院的公共政策硕士。

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Dr. William Scott Grob, CAMS 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). William Scott Grob 博士 (CAMS)

反洗钱合规总监—亚太区

公认反洗钱师协会 (ACAMS)

Grob 博士在金融和银行业拥有逾 25 年的专业经验。他此前是汇丰银行分支机构管理业务的区域主管，

致力于防范亚洲各地的金融犯罪和代理银行服务风险。在汇丰银行供职的 12 年中，他还负责管理过在

股票/外汇大宗经纪业务、结构型基金业务和对冲基金单位方面的风险。

Grob 博士先后获得波士顿大学的学士学位，乔治梅森大学的文科硕士学位，哈佛商学院的综合管理项

目证书，以及圣莫妮卡学院（SMC，美国）的管理学博士学位，其博士论文专注于研究代理银行——“代

理银行增强尽职调查的影响”(IMPACT OF CORRESPONDENT BANK ENHANCED DUE DILIGENCE PRACTICES)。

此外，他还通过了特许另类投资分析师 (CAIA) 协会，以及全球风险管理专业人士协会的金融风险管理师

(FRM) 认证。

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Jojo Guo, CAMS

Director of Anti-money laundering Center

Ant Financial Services Group

Ms. Guo is the Director of Anti-money laundering Center of Ant Financial Services Group (“Ant Financial”). Ant Financial is a technology company that brings inclusive financial services to the world. Ant Financial, officially founded in October 2014, originated from Alipay founded in 2004. With the mission of "bringing the world equal opportunities", Ant Financial is dedicated to creating an open, shared financial services platform through technology innovations, and to providing consumers and small businesses with safe and convenient inclusive financial services globally. Ms. Guo has more than 14 years’ experience in compliance, anti-money laundry risk management in banking and payment industry. She was the Head of Compliance Department of Alipay.com, witnessed the development of regulations and compliance programs in Chinese payment industry. She is leading the team to maintain AML program of Ant Financial CN business. 郭倩婷 (CAMS)

蚂蚁金服集团反洗钱中心

郭倩婷女士任职于蚂蚁金服集团反洗钱中心。蚂蚁金服集团旗下业务包括生活服务平台支付宝、智慧理

财平台蚂蚁聚宝、云计算服务平台蚂蚁金融云、独立的第三方征信机构芝麻信用及首批民营银行之一的

网商银行。蚂蚁金服致力于通过技术与合作与合作伙伴一起为世界带来更多平等的机会和微小而美好的

变化。

郭倩婷女士具备超过14年丰富的银行、支付等行业合规、反洗钱管理工作经验。过去10年，郭女士一直

在蚂蚁金服集团合规、反洗钱部门工作，深入参与了支付机构相关立法研讨和企业合规运营的实践，目

前郭女士负责蚂蚁金服集团中国业务的反洗钱管理工作。

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

Joyce Hsu, CAMS-FCI AML Director – North Asia ACAMS Ms. Hsu has over 20 years’ experience in the banking industry and joined ACAMS as a subject-matter expert last year, with the primary responsibility of developing and executing a strategy in AML/CFT training and knowledge-sharing with a focus in the Mandarin Chinese language. Previously, she was in charge of security and investigation service for Citi Taiwan. Her previous experience includes 5 years being responsible for providing Financial Crime and Operational Risk Management solutions for a leading Consulting firm with a particular expertise in AML and Operational Risk Management. Her expertise is focused on financial crime management and investigation. Various roles included progressing from being a front line operator, sales to senior manager of a headquartered-operation center with further progression into a risk manager role. Some accomplishments included: building up Anti-Money Laundering, Anti-Fraud Management for tier one banks in China; designing and implementing ORM tools and systems for an entire bank; and leading a team to develop the banking operation management capability for one of the largest banks in China.

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许胧方 (CAMS-FCI)

反洗钱合规总监—北亚

公认反洗钱师协会 (ACAMS)

Joyce拥有逾 20年银行从业经验。在 2016年她加入公认反洗钱师协会 (ACAMS)，为协会的反洗钱合规

总监，主要负责反洗钱和反恐融资活动相关议题的培训及知识共享策略的制定和执行，尤其是对以华语

为主要语言的大中华区。此前，她曾任职于花旗银行（台湾），主管安全和调查服务部门。 Joyce在防

范金融犯罪和风险管理领域拥有尤为丰富的从业经验，曾连续 5年负责为一家全球领先的顾问公司提供

金融犯罪和风险管理解决方案。她擅长金融犯罪管理和调查。 Joyce在银行任职期间曾担任多种职位，

从基层客服、销售，到总部运营中心和风险管理。她的成就包括：辅导中国多家第一级银行建立反洗钱

和反欺诈管理机制、为中国四大行之一设计反洗钱及合规体系，为四大行之一设计规划全面风险管理体

系，以及带领团队为一家中国超大型银行打造银行集中运营管理机制及流程。

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

Lynn Na Li, CAMS-Audit

Executive Director of Fraud Investigation and Dispute Services

Ernst & Young (China) Advisory Limited

Ms. Li accumulated over 18 years’ experience in financial industry with ample knowledge in operational risks,

ethics, compliance, and experience in middle and back offices. With over 13 years of her career in Financial

Crime Compliance, her experience covers a wide range of sections including Anti-Money Laundering, Sanction,

Anti-Bribery and Anti-Corruption, etc. She has deep understanding of AML and Sanctions processes and

procedures, the China regulatory landscape as well as the regulators’ expectations in Mainland China, Hong

Kong, US and Japan.

Ms. Li holds an MBA from Chinese University of Electronics, Science and Technology. During her banking

experience, Ms. Li took the responsibility to conduct the first round of FATF Mutual Evaluation representing

the bank she worked in 2006. She was involved in great amount of translation of stipulations and was

appointed to compose and revise many AML laws and regulations. In 2008 Ms. Li leading her team, assisted

The People’s Bank of China to compose the basic framework of the book “Anti-Money Laundering: Global

Experience and Reference”, and was responsible for the composition of “The Section of Japan”. She was

awarded as “Remarkable Individual of AML” by PBOC each year since 2008 to 2015. In 2014, she led her team

to win the title of “Remarkable Institution of AML”. In 2016, as a representative of her bank, Li Na was elected

to be the deputy team leader of AML Professional Group in Shanghai Banking Association. In 2017, Li Na was

invited to join the AML Professional Group, organized by PBOC Shanghai Branch, as a critical group member. At

present, the IRA standards and procedures of the security section are completed by the team.

As a senior professional expert in the industry, Li Na was frequently invited by PBOC, China Banking

Association and other organizations to give lectures. In 2017, as an extraordinary global member of ACAMS,

she and her experience was depicted in the special edition of ACAMS’s magazine.

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李娜 (CAMS-Audit)

审计及法证调查服务执行总监

安永（中国）

李女士在金融行业拥有超过 18年的从业经验，对于操作风险、职业操守与合规拥有丰富的知识以及中

后台的操作实践经验。其中，李女士在金融犯罪合规领域拥有超过 13年的职业经验，广泛涵盖了反洗

钱、制裁以及反贿赂腐败等多个领域，对中国的监管环境以及中国大陆、香港、台湾、美国和日本等地

的监管要求有着深刻的理解。

李女士在中国电子科技大学取得工商管理硕士学位。在李女士的银行从业经历中，她曾在 2006年代表

所在银行负责承接第一轮 FATF中国互评估工作。她曾经参与了大量法规翻译和修订工作，并应邀负责

负责制定多项反洗钱法律与法规。2008年，她被人民银行任命为反洗钱高级专家，同时带领团队队协

助中国人民银行构建了《反洗钱国际经验与借鉴》着书框架，并负责其中日本篇的撰写。从 2008年至

2015年，李女士每年均荣获人民银行“反洗钱先进个人”称号，2014年更带领所在机构获得人民银行“反

洗钱先进机构”称号。2016年，李女士代表所在机构被选举为上海银行业同业工会反洗钱工作小组副组

长。2017年，李女士应人民银行邀请加入反洗钱专家工作组，成为核心成员。目前，小组已经完成了

上海地区证券业的机构风险评估标准及流程的制定。

作为业界资深专家，李女士经常被人民银行、银行业协会以及其他组织、机构，邀请发表演讲或给予培

训。2017年，李女士作为 ACAMS的杰出会员，其事迹被 ACAMS的会员杂志专刊刊登。

-------------------------- Dr. LU Jie

Chief Technology Officer

GRAPHEN Inc.

Dr. Jie Lu is the Chief Technology Officer of Graphen, Inc. Currently she is leading the effort of creating the next-generation Artificial Intelligence and Big Data Analytics platform as well as FinTech solutions on top of this platform. Prior to co-founding Graphen, Inc., Dr. Lu worked at IBM T.J. Watson Research Center as a research scientist for 10 years, leading multiple internal and external technology and software system research and development projects, covering areas such as contextual information retrieval and recommendation, interactive visual analytics for business intelligence, social media analysis for strategic communications, and using graph analytics and machine learning techniques on billion-level data to detect anomalies for financial applications. Recently, Dr. Lu has been leading the development of Anti-Money Laundering, Non-Performing Loans, and Cybersecurity Monitoring systems for top bank clients. Dr. Lu received her Ph.D. from Carnegie Mellon University in 2007, M.S. from Yale University, and B.S. from Tsinghua University. 吕洁博士

首席技术官

美商图策智能科技有限公司

吕洁博士是美商图策智能科技有限公司（Graphen Inc.）首席技术官（CTO），负责领导开发新一代人工

智能和大数据存储及分析平台，以及基于此平台的为金融科技解决方案。此前十年吕博士在 IBM沃森

研究院（Watson Research Center）任职研究科学家，曾先后领导过多个对内或对外的技术及软件系统研

发项目，涵盖智能检索推荐，可视化商业智能，社交媒体战略传播，以及利用图形分析技术和机器学习

方法处理并分析数十亿量级数据以支持金融机构内部异常检测的应用。近期吕博士致力于领导为银行客

户开发反洗钱，不良贷款分析和网络安全监控应用系统。

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吕博士于 2007年获得卡内基梅隆大学（Carnegie Mellon University）计算机科学博士学位。此前她拥有

耶鲁大学硕士和清华大学学士学位。

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

LU Zheng

Chief Compliance Officer

Circle China

Mr. LU Zheng has been the chief compliance officer of Circle China since July 2016. He has been engaging in

innovative applications and compliance management related to block chain and FinTech. He has over 14 years

of experience in anti-money laundering legislation, policy making and regulatory practice. He has served as a

director of the Anti-Money Laundering Bureau of the People's Bank of China. Mr. LU participated in drafting

the Anti-Money Laundering Law and relevant anti-money laundering regulations, establishing of the anti-

money laundering on-site inspection procedures and risk assessment method, organizing the on-site

inspection of various large financial institutions, developing the FATF international standards.

鲁政

首席合规官

世可中国公司

鲁政于 2016年 7月至今担任世可中国公司首席合规官，从事区块链、金融科技相关的创新应用、合规

管理工作。鲁政有超过 14年的反洗钱立法、政策研究和监管实务经验，曾任中国人民银行反洗钱局处

长，曾参与起草《反洗钱法》、反洗钱规章和反洗钱监管政策，制定反洗钱现场检查程序和风险评估标

准，组织对各类金融机构的现场检查，讨论制定 FATF反洗钱国际标准。

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

Gerrey Zhou

Risk Management Department

Tencent

周治明

腾讯财付通反洗钱中心高级总监

腾讯

周治明先生为腾讯财付通反洗钱中心高级总监，具六年的支付安全工作经验，见证了整个移动支付高速

发展的过程，建设了腾讯财付通的风险防控体系及反洗钱体系，通过人工智能，对赌博、传销、地下钱

庄、恐怖融资等风险进行识别和打击；善于用技术和数据来解决安全问题。

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ZHOU Lan Deputy General Manager, Legal & Compliance Department Bank of China Shanghai Branch

Mrs. Zhou has worked in the finance field for nearly 20 years already and has various law and compliance management experiences, especially in the AML compliance field, with more than 12 years practical operation and management experience. She is very familiar with AML regulations. Mrs. Zhou has initiated the AML three lines of Defense (3 + 3) operating system and other special platforms while she worked for current organization. She has also established the AML monitoring and analysis center, and AML Assessment and differentiation control system for organization & products. In addition, she proactively explored the innovative method of AML, as well as AML process optimization, science and intelligence control in AML. Mrs. Zhou was frequently invited to share her experiences at the events organized by PBOC or Shanghai Banking Association as the representative of Chinese FIs. At the AML research group which initiated by PBOC (Shanghai Branch), she used to be the leader of sanctions monitoring group, and the group member of Trade Based AML. She actively explored AML control mechanism and measures in high-risk area of Finance in Shanghai.

周岚

法律和合规部 副总经理

中国银行上海市分行

周岚女士在金融领域从业近 20年，具有丰富的法律合规管理经验，其中在反洗钱合规领域有超过 12年

的管理工作经历与实务操作经验，熟悉反洗钱合规领域的监管规定。

周岚女士在所在机构牵头构建了反洗钱三道防线（3+3）运行体系及多个专项小组平台，组建反洗钱监

测分析中心，建立机构与产品反洗钱评估与差异化管控机制，并积极探索反洗钱创新管控方式，研究反

洗钱流程优化与科技化、智能化管控手段。

周岚女士多次受邀在人民银行与同业公会组织的反洗钱会议与培训上作为中资银行代表进行经验分享，

并在人民银行上海分行发起的反洗钱研究组中，担任制裁名单监控小组牵头人及反贸易洗钱小组成员，

积极探索上海金融业高风险领域反洗钱管控机制与举措。

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