Detecting and Disrupting Money Laundering in Capital Markets

16 September 2022

InterContinental, Sydney

12:30pm - 4:00pm

*Lunch & Refreshments provided*

Agenda


12:30pm | Registration
12:30 - 1:30pm | Lunch
1:30 - 3:00pm | Panel Session
3:00 - 4:00pm | Network Drinks

Overview

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.

Key themes:

  • 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.

By confirming your participation to this event, you may be contacted by the sponsor, but you can unsubscribe at any time. All personal data will be handled according to NICE Actimize's privacy policy.

Your personal data will be handled according to Regulation Asia's privacy policy

For enquiries please email us here.

Speakers

Bradley Maclean
Co-founder
Regulation Asia
(Host & Moderator)

Alexander Graham
Partner, Financial Crime Consulting Practice Co-Lead
KPMG Australia

Donna Wacker
Partner, Asia Regulatory Group
Clifford Chance

Martin Ivanov
Head of Global Financial Crime Compliance
Westpac Institutional Bank

Adam McLaughlin
Global Head of Financial Crime Strategy & Marketing, AML
NICE Actimize

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