Detecting and Disrupting Money Laundering in Capital Markets
16 September 2022
12:30pm - 4:00pm
*Lunch & Refreshments provided*
12:30pm | Registration
12:30 - 1:30pm | Lunch
1:30 - 3:00pm | Panel Session
3:00 - 4:00pm | Network Drinks
Capital markets are vulnerable to money laundering due to the complex, international nature of trading and the fact that large sums can be traded relatively quickly through the markets. Today, this all takes place digitally, adding to the challenge. The use of brokers, dealers, on- and off-market trades, and multiple financial institutions for different legs and stages of trades all make Australia’s markets vulnerable to money laundering risk.
In this panel, our industry experts will explore the current money laundering typologies in capital markets, and the systems and controls firms should have in place to counter these threats. We will also discuss the expectations from regulators and what more can be done through industry collaboration.
- Understanding money laundering typologies in capital markets and why SMRs are low
- Conducting a risk assessment to determine exposure to money laundering risk
- Differentiating between market abuse and money laundering patterns and the systems and controls that should be in place to aid detection
- Leveraging existing market surveillance controls, advanced AI capabilities and network analysis to bolster monitoring for money laundering risk
- Ensuring compliance teams, especially AML compliance, managers, traders, advisers and staff are adequately equipped and motivated to meet the challenge
Register your interest
Due to limited seating, please allow us to confirm your attendance by email before attending.