ComplianceOnline

"AML/CTF Investigation and Identification" - This course is approved by NASBA (National Association of State Boards of Accountancy). Seminar attendees are eligible for 12.4 CPE credits upon completion of training.

We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200, www.learningmarket.org, e-mail cpe@nasba.org.

This program is designed to assist in defining the investigation process and provide additional tools to support both the investigative teams and those who review the decision to submit a report or not. Using a number of scenarios throughout the program you will be asked to consider what investigative steps you would undertake to make a decision and assess potential changes in customer risk rating.

Designed for those who investigate, team leaders and managers the program reflects on regulator expectations and practical investigation activities commensurate with the type of alert.

If you are looking for answer of these questions, you would certainly benefit by attending this AML Workshop:

  • As part of your AML/CTF program there is a lot of focus on investigating unusual or overly complex transactions but what does this mean in practical terms?
  • How deep do you dive?
  • How broad is that investigation and what makes something suspicious enough to report?
  • How do you make sure every investigation is appropriate in an environment where volumes of alerts and staff numbers can be pressure points on the investigations team?
  • How do you train new team members in the investigative process?
Seminar Fee Includes:
Lunch
AM-PM Tea/Coffee
Seminar Material
Attendance Certificate
$100 Gift Cert for next seminar

Why Should You Attend:

We will discuss, and add context to, the amount of information and other documentation included in SMR's when they are submitted. We encourage each attendee to bring along one, de-identified, scenario that can be worked through by the group as an exercise

Using real examples as case studies and identifying the benefits and pitfalls, this program is designed to help you understand:

  • First Principles - what is it we are trying to identify
  • Sources of alerts for investigations
  • Transactional driven v. customer profile driven investigation
  • Considering peer activity
  • The importance of taking a holistic view
  • Investigation effectiveness
  • Customer risk assignment and their activity
  • Recording the investigative process and reasons for decisions
  • Following up with customers; and
  • Making a report.

Learning Objectives:

  • Understanding the rules and regulator advice
  • Avenues of inquiry that can be used in an investigation
  • Consistency in assessing whether or not to report

Areas Covered:

  • Regulatory requirements
  • Better investigation practice
  • Building a holistic view of the customer
  • Examples of issues (case studies throughout the course); and
  • Managing investigation notes and evidence.

Who will Benefit:

  • MLRO's
  • AML/CTF investigation teams
  • financial crime compliance managers
  • internal auditors
  • Regulatory
  • Compliance
  • Staff with Roles and Responsibilities in AML Management and Oversight
  • Risk and Compliance Management
  • Compliance Analysts and Advisors
  • Company Management
  • Operational Risk Managers

Field of Study:

  • Auditing: 0.6 CPE Credit
  • Behavioral Ethics: 1.8 CPE Credit
  • Business Management & Organization: 4.8 CPE Credit
  • Personnel/HR: 1.6 CPE Credit
  • Regulatory Ethics: 1.2 CPE Credit
  • Specialized Knowledge and Applications: 2.4 CPE Credit

Program Delivery Method: Group-Live
Program Level: Basic
Advance Preparation/Program Prerequisites: None

Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure
Day 01(8:30 AM - 4:30 PM)
  • Registration Process: 8:30 AM – 9:00 AM
  • Introductions
  • Lecture 1: What does the term suspicious transaction mean to you? (Group Discussion)
    • Do we have a common view of 'suspicious' even in our own business?
    • Does that view vary across your enterprise or product to product?
    • How far do you go to make the determination?
    • Do we go back to re-confirm our definition of 'suspicion'
  • Lecture 2: Regulators views on what 'suspicious' is
    • AUSTRAC's guidance and 'red flags'
    • The view of FATF and other regulators
  • Lecture 3: Sources of alerts for unusual matters
    • Automated transaction monitoring systems
    • The business units
    • Threshold or other regulatory reporting
    • Press, regulators and intelligence
  • Lecture 4: Investigating alerts (will include practical examples)
    • Defining our investigation - is it who or what?
    • Does the customer risk rating mean anything in the investigation?
    • Avenues of enquiry
    • Understanding the activity in relation to peer customer types
    • Gathering and reporting the facts
Day 02(8:30 AM - 12:30 PM)
  • Lecture 5: Developing a repeatable process
    • Clarity around the objective - what am I trying to ascertain
    • When do you perform alert based ECDD - during the investigation or post report?
    • Documenting the process and each investigation
    • Arriving at a conclusion - to submit an SMR or not?
    • Defensive reporting
    • Impact of an SMR on customer risk rating?
    • Exiting customers
  • Q and A
Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure
David Harley

David Harley, CFE CAMS
Director at Delta Financial Crime Consulting Pty Ltd

EXPERT David Harley CFE CAMS – is a skilled and effective Anti-Fraud, Anti-Corruption and Anti-Money Laundering professional with over 30 years’ experience preventing, detecting and resolving issues that relate to fraud, corruption money laundering and terrorist financing. With a law enforcement background focused on criminal investigation and proceeds of crime, David has spent nearly 18 years working in a commercial environment dealing with fraud and corruption.

David has led the development of frameworks and policies, undertaken business partner reviews and lead a range of fraud and corruption investigations, across multiple jurisdictions, including Australia, Bangladesh, China, Indonesia, Papua New Guinea and the Pacific Islands.

He possesses an extensive repertoire of strategic and tactical knowledge and skills, including forensic technology, forensic accounting, data analysis and a range of investigation skills/methodologies, and is able to provide commercially and ethically sound remediation recommendations and systems-based solutions to mitigate future risks. David takes a holistic approach to risk and issue management and is committed to leaving a lasting and beneficial impact on businesses that extends long after the engagement is completed. An excellent communicator, teacher and mentor who regularly lectures in Certificate III in Investigative Services and Certificate IV in Government (Investigation) for registered training organisations.

Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure

Register Now

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$999.00

Seminar One Registration (USD)

December 7-8, 2017, Sydney, Australia
(For Registrations till October 25, 2017 - $999)
(For Registrations till November 15, 2017 - $1199)
(For Registrations after November 15, 2017 - $1299)

$4,599.00
$5,994.00 (23%)*

Save $1,395.00

Special Group Discount Register for Six attendees (USD)

December 7-8, 2017, Sydney, Australia
*Hurry! This option is limited and based on availability.
Great Savings with Group Ticket!!! Only 3 left




Early bird seats are limited and based on first-come, first-serve.

Your registration fee includes the workshop, all course materials and lunch.


For discounts on multiple registrations, contact customer care at +1-888-717-2436.

Other Registration Option

By order form / PO#

Payment Mode

By Check -
Pay your check to (payee name) “MetricStream Inc” our parent company and Mail the check to:

ComplianceOnline (MetricStream, Inc),
2479 East Bayshore Road Suite 260
Palo Alto, CA 94303
USA

By Wire -

Register / Pay by Wire Transfer

Please contact us at +1-888-717-2436 to get details of wire transfer option.

Terms & Conditions to Register for the Seminar/Conference/Event

Your registration for the seminar is subject to following terms and conditions. If you need any clarification before registering for this seminar please call us @ +1-888-717-2436 or email us @ customercare@complianceonline.com

Payment:
Payment is required 2 days before the date of the conference. We accept American Express, Visa and MasterCard. Make checks payable to MetricStream Inc. (our parent company).

Cancellations and substitutions:
Written cancellations through fax or email (from the person who has registered for this conference) received at least 10 calendar days prior to the start date of the event will receive a refund - less a $300 administration fee. No cancellations will be accepted - nor refunds issued - within 10 calendar days before the start date of the event.

On request by email or fax (before the seminar) a credit for the amount paid minus administration fees ($300) will be transferred to any future ComplianceOnline event and a credit note will be issued.

Substitutions may be made at any time. No-shows will be charged the full amount.

We discourage onsite registrations, however if you wish to register onsite, payment to happen through credit card immediately or check to be submitted onsite. Conference material will be given on the spot if it is available after distributing to other attendees. In case it is not available, we will send the material after the conference is over.

In the event ComplianceOnline cancels the seminar, ComplianceOnline is not responsible for any airfare, hotel, other costs or losses incurred by registrants. Some topics and speakers may be subject to change without notice.

Attendance confirmation and documents to carry to the seminar venue:
After we receive the payment from the registered attendee, an electronic event pass will be sent to the email address associated with the registrant 5 working days before the seminar date. Please bring the pass to the venue of the event.

Conference photograph / video:
By registering and attending ComplianceOnline conference, you agree to have your photographs or videos taken at the conference venue and you do not have any objections to ComplianceOnline using these photos and videos for marketing, archiving or any other conference related activities. You agree to release ComplianceOnline from any kind of claims arising out of copyright or privacy violations.

Location

The Tank Stream Hotel
97-99 Pitt Street,
Sydney NSW 2000, Australia
Tel: +61-292-333-628

December 7-8, 2017

How to Reach

General Driving Directions:

Driving Directions from Sydney (Kingsford Smith) Airport : 12.0 Km
  • Head north and continue northeast for 100 m
  • Continue northwest 50 m and turn right on the ramp onto General Holmes
  • Continue north and turn right on the ramp onto Southern Cross
  • Merge right onto Southern Cross Drive
  • Continue north and at the fork, turn left onto Macquarie Street Offramp
  • At the fork, turn right onto Shakespeare Place
  • Continue west for 450 m and then turn left onto Pitt Street, destination reached.

Disclaimer: Directions to the venue above have been taken from the hotel website. Attendees are advised to check with the hotel for confirmation of these directions before starting for the venue. ComplianceOnline is not responsible for any inaccuracies in the same.

Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure

We are pleased to offer several exhibitor, sponsorship and media partnership options designed to maximize your company's exposure and networking opportunities before, during and after the event.

Benefits of becoming a Sponsor/Exhibitor/Media Partner:

  • Logo on website, marketing email, branding materials & the registration booth
  • Exhibit Space
  • Free event pass
  • Speaking opportunity
  • Social media campaign

For more details and other sponsorship options at this event, please contact Event Manager: customercare@complianceonline.com or call: +1-650-238-9656

Media Partner:

Media Partner

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