Anti-Money Laundering And Counter Terrorism Financing 2015 Seminar

Transcription

1 Anti-Money Laundering And Counter Terrorism Financing 2015 Seminar 5 SEPTEMBER 2015, SATURDAY BANK ISLAM MALAYSIA BERHAD, KUALA LUMPUR FEE: RM PER PARTICIPANT SIDC CPE-APPROVED: 10 CPE POINTS COURSE OVERVIEW This course covers the latest updates to the Anti-Money Laundering, Anti-Terrorism Financing And Proceeds Of Unlawful Activities Act 2001 (AMLATFPUAA of 2001), Securities Commission and Bank Negara Malaysia s guidelines and its implementation on the Malaysia Capital Market. This course is designed for employees of the Capital Market intermediaries in managing AML/CFT risk by implementing risk based approach and effective customer due diligence. PERFORMANCE OBJECTIVES Understanding key developments in the AML landscape locally and internationally, and understanding the implications of AMLATFPUAA of 2001, and its practical applications as required by regulators i.e. Securities Commission and Bank Negara Malaysia Understanding the risk based approach application for customer acceptance & due diligence policy in compliance with SC Guidelines and AMLATFPUAA of 2001 Understanding the roles and responsibilities of employee at all levels in relation to AMLATFPUAA 2001 LEARNING OUTCOMES Upon completion of this course, participants will be able To outline and identify the key developments in the AMLATFPUAA and describe their roles and responsibilities on AML/CFT To apply the KYC & CDD based on a risk based approach in mitigating AML/CFT risk To identify red flags indicating unusual or suspicious activities To relate issues and trends on AML/CFT cases investigated by SSM and RMP Review of reported AML/CFT cases in Malaysia & internationally from the enforcement agency Understanding the Shariah Governance framework as a mechanism in mitigating money laundering and terrorism financing To apply the knowledge on shariah governance framework in mitigating Money Laundering and Terrorism Financing Who Should Attend Trading Representatives and Dealer s Representatives Investment Bankers, Commissioned Dealer s Representatives (Remisiers) Certified Financial Planners Fund Managers & Investors

2 COURSE OUTLINE BIMB SECURITIES SDN BHD ( X) Anti-Money Laundering and Terrorism Financing 2015 Seminar 08:15-09:00 Registration 09:00-09:15 Opening address by Encik Rashid Ismail, Chief Executive Officer / Executive Director 09:15-10:30 Speaker: Dr. Ch ng Huck Khoon 10:30-10:45 Morning Tea Topic : Anti Money Laundering and Terrorism Financing Overview of Money Laundering & Terrorist Financing and latest key development in the AML landscape locally & internationally Practical application of AML/CFT as required by regulators i.e. Securities Commission and Bank Negara Malaysia Latest amendments/guidelines by Securities Commission Malaysia and Bank Negara Malaysia and its implication on stockbroking industry. 10:45-12:30 Speaker: Dr. Ch ng Huck Khoon 12:30-02:00 Lunch/Solat Topic : Anti Money Laundering and Terrorism Financing (continue) Obligations of reporting institutions under AMLATFPUAA 2001 Role and responsibilities of employees on AML/CFT Managing ML/TF Risk Practically i.e. KYC, Risk approach application on Customer Due Diligence and Risk profiling for higher risk customer Important of CDD compliance and procedures Understand the red flags, detection and reporting of suspicious activities Examples of Suspicious Transactions Terrorist financing and possible risk in stock broking business 02:00-02:45 Speaker: Encik Muhamad Ezadee-Companies Commission Malaysia Topic: AML/CFT-Understanding the role of a Company and towards Better Governance of a company Issues and trends relating to AML/CFT cases investigated by SSM AML cases & cases in relation to company and lesson learned

3 02:45-03:30 Speaker: DSP Foo Wei Min-Royal Malaysia Police (RMP) Topic : AML/CFT and Case Study on AML/CFT Issues and trends relating to AML/CFT cases investigated by RMP Malaysia case studies-completed & on-going cases involving reporting institutions Key lessons from recent AML/CFT Regulatory enforcement actions 03:30-03:45 Afternoon Tea 03:45-04:30 Speaker: Dr. Maszlee Malik-Associate Professor UIAM Topic: Shariah Governance Framework as a Mechanism to Mitigate Money Laundering and Terrorism Financing What is shariah governance framework and why it is important The component and significant of Shariah governance in mitigating AML/CFT risk. 04:30-05:00 Question & Answer 05:00 End of Seminar

4 SPEAKER S PROFILE Dr. Ch ng Huck Khoon Pursued his PhD studies in Finance at the Universiti Sains Malaysia (USM); He also holds a MBA (Finance) from the University of Stirling (UK), a Certified Financial Planner, he is an Associate Member of The Institute Of Chartered Secretaries and Administrators (ICSA) and Associate Member for Centre for Business and Management (CBM) University Tunku Abdul Rahman (UTAR). Dr Ch'ng is currently the CEO for CHK Consultancy Sdn Bhd. He is also an Independent Non Executive Director for CNI Holdings Berhad, YGL Convergence Berhad and AT Systematization Berhad (public listed companies in BURSA Malaysia) and Chairman of Audit Committee for CNI Holdings Berhad and YGL Convergence Berhad. He is columnist in the Shin Chew Daily and United Daily (local press) on stock market matters, apart from being interviewed on financial related topics by Astro and RTM. He is a HRDF Certified Trainer, External Moderator / Paper Examiner for INTI International College (Laureate International University) and Academic Council and Examination Board for SDH Institute (Singapore). Dr Ch ng was an Assistant Professor at the Universiti Tunku Abdul Rahman (UTAR) and Wawasan Open University (WOU). He lectured on Financial Management, Financial Strategy, Money and Banking, Financial Planning and Corporate Strategy related modules. He was also a Capital Markets Services Representative License holder for 15 years with A A Anthony Securities Sdn Bhd. One of his research papers entitled How Many Securities Make A Diversified Portfolio: KLSE Stocks?, was selected as the winner of the Security Commission Capital Market Award His main research interests are in investment and behavioral finance and his research papers have not only been published in Malaysian journals but also those in India and Australia.

5 SPEAKER S PROFILE Dr. Maszlee bin Malik Dr Maszlee Malik, graduated his studies at Jordan in He is an undergraduate in the field of fiqh and usul fiqh at al-bayt University, Jordan and holds a master s degree in the same field from the University of Malaya. He obtained his doctorate degree (PhD) in the United Kingdom in Political Science. Maszlee also experienced teaching at Durham University in the years He was also invited to be a guest speaker for SOAS summer school on Political Islam for the two consecutive years of for the topic Political Islamic Movements in South-East Asia. He possess vast experience doing NGO charity works in Lebanon and Jordan since the year 2004 that gave him a myriad of experience in dealing with political literatures in Arabic language and the political situation in the Middle East. Furthermore, Maszlee is also frequently invited as guest speaker by many Malaysian media to talk on the issues relate to Political Islam, Middle Eastern Politics and Arab Spring. Currently, he is holding the post of assistant professor in the Faculty of Islamic Revealed Knowledge and Human Sciences at the International Islamic University Malaysia, Kuala Lumpur. His research area is in Islamic jurisprudence, Contemporary Islamic Political Thoughts and Movements and Good Governance.

6 SPEAKER S PROFILE Foo Wei Min Deputy Superintendent of Police (DSP) Foo Wei Min is a Senior Investigator Officer of Money laundering and Terrorism Financing cases since He pursued Master program of Transnational Crime Prevention, University Wollongong, Australia in 2011 which was fully sponsored by the Government of Malaysia and the Australia Federal Police (AFP). He was certified as Financial Investigator by Bank Negara Malaysia in He represented Royal Malaysia Police (RMP) in the Mutual Evaluation Exercise (MEE) 2014 by the FATF/APG assessors. He frequently attend APG annual meeting on money laundering in the Asia/Pacific Region and was chosen to be a speaker in the meeting.

7 SPEAKER S PROFILE Muhamad Ezadee Bin Lazan Muhamad Ezadee Bin Lazan is the Head of Section, Financial & Fraud, Investigation Division at the Suruhanjaya Syarikat Malaysia. Muhamad Ezadee graduated with a Master in Forensic Accounting & Financial Criminology. He is a Chartered Accountant of the Malaysian Institute of Accountants (MIA) and a Certified Financial Investigator of the National Coordination Committee to Counter Money Laundering (NCC).

8 BIMB SECURITIES SDN.BHD. ( X) ANTI-MONEY LAUNDERING AND COUNTER TERRORISM FINANCING 2015 SEMINAR SIDC CPE-approved: 10 CPE points 5 th September th Floor, Menara Bank Islam, Jalan Perak, Kuala Lumpur Fee : RM per participant REGISTRATION FORM A. REGISTRATION DETAILS (Please photocopy this form for multiple registration) Name: NRIC No: CMSRL No: Designation: Company: Address: Tel No: Fax No: Contact Person Details (if different from above) Name: Designation: Company: Address: Tel No: Fax No: B. PAYMENT DETAILS Mode Cheque/Bankdraft No. Account Name: BIMB Securities Sdn. Bhd Cash Bank : Bank Islam Malaysia Berhad Online Payment Account No : Amount (RM)... Payment should be made by cash, crossed cheques/bank draft, made payable to BIMB Securities Sdn. Bhd.. Official receipt will be issued upon receipt of payment. Inclusive of Certificate of Attendance, Seminar Materials, Refreshments and Lunch. C. REGISTRATION TERMS Registration is required with payment and must be received 1-week before the program to guarantee your seat. Admittance will not be permitted unless payment or a letter of guarantee is received. Any cancellation must be made in writing one week before the commencement of the program and a complete set of course materials and 50% refund will be given. However, no refund will be made for cancellation received after the said period. If you are unable to attend, a substitute is welcome at no extra charge. Program changes please note that the topics were confirmed at the time of publishing; however, circumstances beyond the control of the organiser may necessitate alterations of the topics. BIMB Securities reserves the right to postpone/cancel this program due to unforeseen circumstances participants will be notified accordingly. D. CONTACT DETAILS For enquiry and/or registration, please contact: BIMB Securities Sdn. Bhd. Level 32, Menara Multi-Purpose, Capital Square, No. 8, Jalan Munshi Abdullah, Kuala Lumpur Tel: Ext. 1658/1602 Fax: anis@bimbsec.com.my; syahila@bimbsec.com.my; hr@bimbsec.com.my Website: