BIMB SECURITIES SDN BHD ( X) ANTI-MONEY LAUNDERING AND COUNTER TERRORISM FINANCING 2016 SEMINAR

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1 ANTI-MONEY LAUNDERING AND COUNTER TERRORISM FINANCING 2016 SEMINAR SIDC CPE-approved: 10 CPE points 3 rd September 2016 Silka Maytower Kuala Lumpur No. 7, Jalan Munshi Abdullah 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. 1653/1658 Fax: nurhidayah@bimbsec.com.my; anis@bimbsec.com.my; hr@bimbsec.com.my Website:

2 BUMIPUTERA TRAINING FUND COURSE REGISTRATION FORM BTF/REG/11 REGISTRATION DETAILS Name : Designation : Company : Address : Tel no. : Fax no. : CONTACT PERSON Name : Tel no. : Fax no. : COURSE DETAILS Course Title : Course Date : CPE/Non- CPE : Please tick ( ) Non-CPE CPE Please provide the following details: NRIC No. : Licence No. : Licence expiry date : REGISTRATION AND INQUIRIES Terms Registration is on a first-come-first-served basis. The BTF Secretariat will confirm your registration and send the confirmation slip only upon receipt of duly completed registration form. Forms must be received no later than two (2) weeks before the course date. Otherwise, the BTF Secretariat reserves the right not to process your application. Walk-in participant(s) will not be entertained. Cancellation must be made in writing and reach us seven (7) days before the course date. A penalty fee amounting to double the course fee will be imposed on participants who fail to attend the course. For any inquiries, please contact Muhammad Safwan Ahmad Muslim at (SafwanA@sidc.com.my) or Zaine Mohd Noh at (Zaine@sidc.com.my) or mail to BTF Secretariat as follows: BTF Secretariat Securities Industry Development Corporation 3, Persiaran Bukit Kiara Bukit Kiara Kuala Lumpur Fax No: APPROVED/NOT APPROVED by BTF SECRETARIAT Approved Not-Approved Signature Date I hereby declare that I have given my consent to the processing of my personal data in accordance with the Notice under the Personal Data Protection Act 2010 and understood the SIDC programme Terms & Conditions 2015 and agree to abide by them. Disclaimer: The BTF Secretariat reserves the right to amend the course as deemed necessary.

3 Anti-Money Laundering And Counter Terrorism Financing 2016 Seminar CPE POINTS SIDC CPE-APPROVED: 10 3 rd SEPTEMBER 2016, SATURDAY SILKA MAYTOWER KUALA LUMPUR FEE: RM PER PARTICIPANT COURSE OVERVIEW This course is designed for employees and registered representatives of the capital market intermediaries on Anti-Money Laundering, Anti-Terrorism Financing and Proceeds of Unlawful Activities Act 2001 (AMLATFPUAA of 2001) and its application. The course outlines the roles of reporting institution as effective gatekeepers in preventing money laundering (ML) and terrorism financing (TF) as well as the employees or representative s role in preventing, detecting and reporting suspicious activity. The course also outlines the ML/TF Sadd Zar aie (forbidding what is likely leading to the haram) concept vs privacy rights from Shariah perspective and concludes with case study involving investigations and conviction of ML/TF in Malaysia. PERFORMANCE OBJECTIVES Understanding the money laundering & terrorist financing under Malaysia s AML/CTF regulatory framework. Understanding the risk based approach application for customer acceptance and due diligence policy in compliance with regulatory requirements and AMLATFPUAA of Understanding of the importance of know your customer rule and learn some of the common red flags in detecting, preventing and reporting suspicious activity. Understanding the emerging threats of cyber-crime and financial fraud in the virtual world that link to money laundering and terrorist financing. Understanding the ML/TF Sadd Zar aie concept vs privacy rights from Shariah perspective. LEARNING OUTCOMES Upon completion of this course, participants will be able to To analyse the regulatory requirements imposed on Capital Market Intermediaries under AMLATFPUAA of 2001 and its application. To discuss the importance of customer due diligence and risk based approach in mitigating AML/CTF risk. To identify the ML/TF cases by individuals and Companies investigated and convicted in Malaysia. To describe the concept of Sadd Zar'aie vs Privacy Rights from Shariah perspective in ML Who Should Attend Dealer s Representatives and Trading Representatives Commissioned Dealer s Representatives (Remisiers) Investment Bankers Fund Managers & Investors Certified Financial Planners

4 COURSE OUTLINE Anti Money Laundering and Terrorism Financing 2016 Seminar 08:15-09:00 Registration Arrival Tea/Coffee 09:00-09:15 Opening address by Encik Rashid Ismail, Chief Executive Officer/Executive Director 09:15-10:30 Speaker: Madam Ravinderjit Kaur (Head of Unit (Surveillance) in Compliance Division of SSM) Topic: Role of Reporting Institution as Effective Gatekeepers in Preventing Money Laundering/Terrorism Financing (ML/TF) 10:30-10:45 Morning Tea Module 1 : Brief Introduction to Money Laundering & Methods of ML History of Money Laundering Define Money Laundering How Money Laundering Activity Happens? Why criminals launder their money? Module 2 : Brief Introduction on Combating Terrorist Financing (CTF) Define/What is Terrorism Financing? Brief case study on current trend on terrorism financing activity How financial institutions/legal persons can be vulnerable for terrorism financing Module 3 : Malaysia s AML/CTF Regulatory Framework Overview of AML/CTF Regime in Malaysia Relevant AML/CTF Law, Rules & Regulations Domestic Policy Documents International Standards to combat AML/CTF 10:45-12:00 Module 4 : Monitoring Detection and Reporting of ML/TF Customer Due Diligence (CDD), Enhanced CDD & Risk Based Approach (RBA) Define Reporting Institutions Examples of Red-flags for ML/TF risk Risk Based Approach Application Risk Assessment: Risk Profiling CDD :Elements CDD: Identification

5 10:45-12:00 (continued) Module 4 : Monitoring Detection and Reporting of ML/TF Customer Due Diligence (CDD), Enhanced CDD & Risk Based Approach (RBA) (continued) CDD: verification of documents CDD: on-going due diligence CDD: on Legal Persons Enhanced CDD: When required? Enhanced CDD: on clients from High Risk Jurisdictions Enhanced CDD : on Political Exposed Person (PEPS) Failure to satisfactory complete CDD Suspicious Transaction Report: Reporting Mechanism 12:00-12:30 Question & Answer 12:30-02:00 Lunch/Solat 02:00 03:00 Speaker: Dr. Maszlee Malik-Associate Professor UIAM 03:00-03:15 Afternoon Tea Topic: ML/TF Sadd Zar aie (forbidding what is likely leading to the haram) concept vs privacy rights from Shariah perspective The concept of Sadd Zar aie in AML/CTF Privacy rights from Shariah perspective Relations between Sadd Zar aie and privacy rights 03:15-04:30 Speaker: DSP Foo Wei Min, Royal Malaysia Police (RMP) Topic : Emerging Threats: Cyber Crime and Financial Fraud in the Virtual World link to Money Laundering and Terrorism Financing Cyber crime and financial fraud risk link to ML/TF ML/TF threat and its red flags ML/TF cases by individuals and Companies investigated and convicted in Malaysia 04:30-05:00 Question & Answer 05:00 End of Seminar

6 SPEAKER S PROFILE Madam Ravinderjit Kaur BIMB SECURITIES SDN BHD ( X) Currently the Head of Unit of Companies Commission of Malaysia Training Academy identifying the training development needs of external stakeholders, conducting research, developing and delivering training modules related companies Law. She joined SSM in 2008 as the head of Unit (Surveillance) in the Compliance Divisions of SSM. She has served various units and divisions in SSM such senior investigating Officer in Investigation Division investigating serious fraud and breaches of corporate governance cases. Before joining Investigation Division, she was a Senior Legal Officer in Legal Services Division heading a dedicated Anti-money Laundering/Counter Financing of Terrorism unit. She was delegated with the secretariat task for the Sub Committee on Non-Profit Organizations in Malaysia. She has been actively involved in numerous projects on counter financing of terrorism organized by United Nations Terrorism Executive Directorate. She graduated with Bachelor of Law (Hons) from University of London in 1995 and she obtained her certificate of Legal Practice Certificate in She had been admitted as an Advocates & Solicitor for 8 years as a litigator and corporate lawyer. She is a speaker for companies Commission of Malaysia Training Academy (COMTRAC) and trains on topics such as directors and company secretaries roles and responsibilities, common offences committed under Companies Act 1965, roles and responsibilities of Designated Non-Financial Business and Professions in Combating Money Laundering and Financing of Terrorism, corporate governance, statutory books under Companies Act. She is also a trainer registered with Pembangunan Sumber Manusia Berhad and also a certified Trainer for Certificate IV in Training and Assessment by Australia. Dr Maszlee Malik Dr Maszlee Malik (Maszlee), 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 posses 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 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.

7 Mr. 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 (MRCP), University Wollongong, Australia in 2011 which was fully sponsored by the Government of Malaysia and the Australia Federal Police (AFP). He is also a certified financial investigator (CFIP) by Bank Negara Malaysia in He obtained his Bachelor of Economic from National University of Malaysia (UKM). He represented Royal Malaysia Police (RMP) in the Mutual Evaluation Exercise (MEE) 2014 by the FATF/APG assessors. He frequently attends of APG annual meeting on money laundering in the Asia/Pacific Region and was chosen to be speaker in the meeting.