台灣金融研訓院(教育訓練)台灣金融研訓院(教育訓練)

班名

  • 活動日期 /

    2023年1月11日(星期三)
    上午9:00至下午5:00

  • 活動地點 /

    實體:財團法人台灣金融研訓院(台北市羅斯福路三段62號)實體課程人數有限,額滿為止

    線上課程:Cisco WebEx

  • 一般報名NT$7,500750點
    三人團報享9折優惠
    報名資訊

-活動議程-

※本活動備有中英雙向同步口譯※ ※本課程內容包含新修正法令、新種業務或新種金融商品,符合金融控股公司及銀行業內部控制及稽核制度實施辦法第32條規定※
時間(GMT+8/UTC+8) 議程
08:00 - 09:00 報到
09:00 - 09:10【10mins】 Welcome Remarks 開幕致詞

Hue Dang, CAMS-Audit, Global Head of New Ventures and Senior Asia Pacific Leader, ACAMS
公認反洗錢師協會 全球協會事業拓展執行長 鄧芳慧 (CAMS-Audit)

Dennis Lin, Executive Vice President, Taiwan Academy of Banking and Finance
台灣金融研訓院 副院長 林仲威

09:10 – 09:40【30mins】 Keynote Address: Anti-Money Laundering Control Measures for Emerging Industries in the Banking Sector
主題演講:銀行對新興行業之防制洗錢控管措施

CHUANG Hsou Yuan, Director General, Banking Bureau, Financial Supervisory Commission
金融監督管理委員會 銀行局局長 莊琇媛

09:40 – 10:40【60mins】 (T1)

Regulatory Update: Ever-changing Landscape of AML Regulations
法規最新進展:千變萬化的防制洗錢法規環境

  • Examining recent regulatory developments and guidance to establish best practices for meeting evolving regulatory expectations 研究近期監管發展及指引,制定附合不斷變化的監管期望的最佳做法
  • Discussing global hot topics and the direction of AML/CTF requirements going forward 討論全球熱點話題及防制洗錢/打擊恐怖融資要求的未來發展方向
  • Prospecting FATF future actions to regulate crypto-assets including from non-fungible tokens and decentralized finance 展望FATF對加密資產的監管行動,如自非同質化代幣(Non-fungible token)和去中心化的金融(DeFi)的相關題目

Moderator主持人:

Caryn Leong, CAMS, AML Director – APAC, ACAMS
公認反洗錢師協會 亞洲區反洗錢合規策略總監 Caryn Leong (CAMS)

Speakers 講者:

Hue Dang, CAMS-Audit, Global Head of New Ventures and Senior Asia Pacific Leader, ACAMS
公認反洗錢師協會 全球協會事業拓展執行長 鄧芳慧 (CAMS-Audit)

SU Pei Yu, Executive Secretary, Anti-Money Laundering Office, Executive Yuan
行政院洗錢防制辦公室 執行秘書 蘇佩鈺

Prof. YANG Yueh Ping, Alex, Associate Professor, National Taiwan University College of Law
國立臺灣大學法律學院 副教授 楊岳平

10:40 – 11:00 Morning Break 小休
11:00 – 11:30【30mins】

Special Presentation: Keep Ahead of the Game: Hot Topics of Crypto 2023

特別演講:洞察先機:2023年加密貨幣的熱門話題
Josée Nadeau, Co-Founder, McDonell-Nadeau Consultants
McDonell-Nadeau Consultants 聯合創始人 Josée Nadeau

11:30 – 12:20【50mins】 (T2)

Best Practice Sharing: Optimizing Transaction Monitoring with RegTech,
Artificial Intelligence and Data Analytics

最佳實踐:利用監管科技、人工智慧與數據分析優化交易監控

  • Understanding AI Adoption solutions to switch transaction monitoring from a rule-based approach to a risk-based approach 了解人工智能採用解決方案,如何將交易監控從“基於規則”的方式轉換為“基於風險”的方式
  • Sharing how to use technology to prioritize alerts, conduct link analysis,
    define multiple modeling flags and sort out generation 分享如何使用技術對警報進行優先順序排序、關聯點分析法、定義多個建模標誌及分類生成
  • Demonstrating effective data processing techniques to analyze intelligence more efficiently 展示有效的資料處理技術,以便更有效地分析情報

Moderator 主持人:

Caryn Leong, CAMS, AML Director – APAC, ACAMS
公認反洗錢師協會 亞洲區反洗錢合規策略總監 Caryn Leong (CAMS)

Speakers 講者:

DAN Ting Lip, Senior Vice President, APAC Head of Financial Crime Analytics and Data Science, Citibank
花旗銀行 高級副總裁 亞太區金融犯罪分析及數據科學負責人 陳廷立

TSAI Pei Ling, CAMS, CGSS, Executive Vice President, Head of Anti-Money Laundering Department, Fubon Financial Holding, Head of Financial Safety Department, Taipei Fubon Bank, Fubon Financial Holding Co., Ltd.
富邦金融控股股份有限公司 富邦金控法遵暨法務處洗錢防制部主管 台北富邦銀行金融安全部主管 副總經理 蔡佩玲 (CAMS, CGSS)

12:20 – 13:20 Networking Luncheon 交流和午膳
13:20 – 14:10【50mins】 (T3)

Knowledge Sharing: Know Your Data (KYD) - Key Tenet of Effective AML Compliance
知識共享:了解你的數據(KYD)—— 高效防制洗錢合規的關鍵原則

  • Understanding AML data governance challenges: data quality gaps, lack of a centralized data dictionary and metadata, technological gaps and management silos 了解防制洗錢數據的治理與挑戰:如數據質量差距、缺乏集中的數據字典及元數據、技術差距及信息孤島
  • Enforcing effective data management to identify data structure issues and leverage data for more accurate analysis 實施有效的數據管理,掌握數據結構漏洞並利用數據進行準確分析
  • Sharing best practices on how to extract and analyze data generated by transaction monitoring and KYC, reducing systemic inefficiencies and duplicated risk functions 最佳實踐分享:如何選取及分析交易監控及KYC所產生的數據,減少系統低效與重複風險

Moderator主持人:

Brian Huang, Chairman, Institute of Internal Auditor, Chinese Taiwan, Advisor, Darwin Venture Management Co. Ltd.
中華民國內部稽核協會 理事長 暨 達盈管顧公司 顧問 黃允暐

Speakers 講者:

HSU Kun Su, Senior Vice President and General Manager, Legal Compliance Department, Hua Nan Financial Holdings Co. Ltd.
華南金融控股股份有限公司 法令遵循處處長暨法令遵循部經理 許坤樹

Lynn Li, CAMS-Audit, AML Director – Greater China, ACAMS
公認反洗錢師協會 大中華區反洗錢合規策略總監 李娜 (CAMS-Audit)

14:10 – 15:00【50mins】 (T4)

Mitigating Risk with Trade-Based Money Laundering (TBML)
透過防制洗錢降低貿易洗錢(TBML)風險

  • Discussing TBML impact on banks and clients, and presenting recent case studies 討論TBML對銀行及客戶的影響和介紹最新的案例研究
  • Sharing methods and best practices in identifying transaction red flags using evidence-based risk assessment of clients, transaction patterns, and goods/services; and presenting relevant case studies on the topic 最佳實踐分享: 基於“證據評估法”對客戶、交易模式和商品/服務進行評估以識別交易紅旗警訊,並介紹相關案例研究
  • Identifying opportunities to apply digital solutions such as AI and machine learning to anti-TBML functions to speed decision processes, elevate data quality and create operational efficiencies 將人工智慧和機器學習等數位解決方案應用於TBML,以加快決策流程、提高資料品質並創造運營效率

Speakers 講者:

Ray Liu, CAMS, Head of Legal and Compliance Department, Bank of China Taipei Branch
中國銀行台北分行 法律合規部副總經理/法令遵循主管 劉書良 (CAMS)

Paul Shelton, an experienced banking executive & former compliance head, MLRO of international banks specializing in financial crime compliance
前銀行業高管、國際銀行的合規主管及洗錢報告官 金融犯罪合規專家 Paul Shelton

15:00 – 15:20 Networking Break 小休
15:20 – 16:20【60mins】 (T5)

Spot, Monitor and Report Crypto Suspicious Activities
加密貨幣可疑活動 —— 發現、監測及報告

  • Discussing on methods of identifying high-risk crypto transactions and high-risk customers 討論識別高風險加密貨幣交易和高風險客戶的方法
  • Learning sophisticated analytics and risk indicators to early detection of suspicious activity 認識複雜的分析方法和風險指標,以便及早發現可疑活動
  • Analyzing what information is most useful to law enforcement and prosecutors, to detail key information to include in SAR/STR forms, narratives and supporting documents 分析執法部門及檢察官重視的信息要點,詳細說明SAR/STR表格、說明和支持文件中的關鍵信息

Moderator 主持人:

Ken Chien, CAMS, CCAS, Chairman, Taiwan Virtual Asset Anti-Money Laundering Association
台灣虛擬通貨反洗錢協會 理事長 簡書永 (CAMS、CCAS)

Speakers 講者:

LEE Ping Chi, Prosecutor, Taiwan New Taipei District Prosecutors Office
臺灣新北地方檢察署 檢察官 李秉錡

16:20 – 16:50【30mins】 (T6)

Preparing for the Next Steps on the Environmental, Social, and Governance (ESG) Frontier
下一站:環境、社會和治理(ESG)新領域

  • Updating anti-financial crime (AFC) professionals on new ESG developments 了解與防制金融犯罪(AFC)專業人員相關的ESG新發展
  • Providing practical advice on the next steps (Six Impacted Areas & Recommendations) 分享「下一步」的實用意見(六個受影響的領域和建議)
  • Discussing enhanced due diligence measures on ESG higher risk customers 討論加強對ESG高風險客戶的盡職調查措施
  • Leaning embed ESG risk triggers in adverse media screening 在負面資訊篩查中嵌入ESG風險觸發器

Speakers 講者:

Brian Huang, Chairman, Institute of Internal Auditor, Chinese Taiwan, Advisor, Darwin Venture Management Co. Ltd.
中華民國內部稽核協會 理事長 暨 達盈管顧公司 顧問 黃允暐

16:50 – 17:00【10mins】 Closing Remarks 閉幕致詞

Caryn Leong, CAMS, AML Director – APAC, ACAMS
公認反洗錢師協會 亞洲區反洗錢合規策略總監 Caryn Leong (CAMS)

※ Program is subject to change 活動內容有可能改變而不作另行通知,敬請留意。

講師介紹

KEYNOTE SPEAKER 主題講者
  • Director General, Banking Bureau | Financial Supervisory Commission | CHUANG Hsou Yuan
    金融監督管理委員會 銀行局局長 莊琇媛講座
    學歷:
    • 國立政治大學財政研究所碩士
    • 國立政治大學財稅學系學士
    經歷:
    • 金融監督管理委員會銀行局副局長
    • 金融監督管理委員會銀行局主任秘書
    • 金融監督管理委員會銀行局組長
    • 金融監督管理委員會銀行局副組長
    Education:
    • M.A. , Public Finance, National Chengchi University
    • B,A. , Finance and Taxation, National Chengchi University
    Experience:
    • Deputy Director General, Banking Bureau, FSC
    • Chief Secretary, Banking Bureau, FSC
    • Director, Banking Bureau, FSC
    • Deputy Director, Banking Bureau, FSC
SPECIAL PRESENTATION SPEAKER 特別演講講者
  • Co-Founder | McDonell-Nadeau Consultants | Josée Nadeau講座

    Mrs. Josée Nadeau is a Co-CEO of McDonell-Nadeau. She is also an AML/CFT/PF Consultant for the International Monetary Fund and the Asian Development Bank. Josée has extensive knowledge of the FATF Standards and Methodology including all aspects of the Mutual Evaluation process, ICRG process, and National Risk Assessments, as well as extensive hands-on implementation of the Standards in countries in all regions of the world.

    Josée was Head of the Canadian Delegation to the FATF and to its regional bodies in the Caribbean, South America and Asia-Pacific. Josée led Canada in the FATF’s revision of its AML/CFT Standards in 2012, the FATF evaluation of Canada in 2016 and was co-chair of one of the FATF review groups. She has worked with many international and national organisations, including the FATF, OECD, the G7/8, the G20, the UN, Finance Canada, and the Bank of Canada.

    Josée is an Adjunct Professor for the Executive Master of Arts in Financial Integrity degree program at Case Western Reserve University School of Law in Cleveland, USA and a graduate of the Université de Montréal with a B.Sc and M.Sc in Economics.

SPEAKER FACULTY 講者簡介
(Surname in Alphabetical Order 根據英文姓氏字母排序)
  • Chairman | Taiwan Virtual Asset Anti-Money Laundering Association | Ken Chien, CAMS, CCAS
    台灣虛擬通貨反洗錢協會 理事長 簡書永 (CAMS、CCAS)講座
    學歷:
    • 國立成功大學法律學系碩士
    • 國立成功大學法律學系雙主修歷史學系學士
    重要經歷:
    • 金融業經歷 : 統一證券、富邦人壽、全球人壽
    • 金融科技業經歷:
      • 台灣知名虛擬貨幣交易所法遵經理
      • 好好證券資深法務暨法遵經理
      • 香港商易安聯台灣分公司法遵經理
    特殊經歷:
    • 發布全球第一份與國際反洗錢協會聯名之【台灣虛擬資產反洗錢白皮書】
    • 舉辦全台首場【區塊鏈應用暨虛擬通貨反洗錢 高峰論壇】超過750人與會
    資格認證:
    • 國際反洗錢師(CAMS)
    • 洗錢防制及打擊資恐專業人員認證
    • AML FOR FINTECHS CERTIFICATE
    • VIRTUAL CURRENCY AND BLOCKCHAIN CERTIFICATE
    • 證券商高級業務員資格
    演講經歷:
    • 行政院洗錢防制辦公室
    • 金融監督管理委員會
    • 法務部調查局
    • 財團法人保險犯罪防制中心
    • 臺灣銀行
    • 台北律師公會
    • 國際反洗錢協會第十三屆台灣地區年會
    • 國際反洗錢協會線上研討會
    • 凱基商業銀行
    • 國泰金融控股公司
    • 中信金融控股公司
    • 台中商業銀行
    • 凱基證券
    • 台灣大學
    • 中信金融管理學院
    • 銘傳大學
    • 東華大學
    • 輔仁大學
    Current Position:
    • Chairman of Taiwan Virtual Asset Anti-money laundering Association
    Education:
    • M.S., Law, NCKU
    • B.S., Law and history, NCKU
    Professional Experience:
    • FI: President Security, Fubon Life Insurance, TransGlobe Life Insurance
    • Fintech: Bitpoint Taiwan, BitoEX, How Investech, EMQ
    Special Experience:
    • nnounce White paper of Virtual assets and Anti-Money Laundering with ACAMS
    • old the “Forum of Blockchain application and VA AML” and the participant more than 750 person
    Skills & Qualifications:
    • CAMS
    • Anti-Money Laundering and Countering Terrorism
    • Financing Specialist AML FOR FINTECHS CERTIFICATE
    • VIRTUAL CURRENCY AND BLOCKCHAIN CERTIFICATE
    • Senior Securities Specialist
    Speech & Education Training:
    • Anti-Money Laundering Office
    • FSC
    • MJIB
    • IAFI
    • Bank of Taiwan
    • KGI Bank and Security
    • Cathay Financial Holdings
    • CTBC
    • Taichung Commercial Bank
    • MaiCoin Group
    • NTU
    • Ming Chuan University
    • CTBC Business School
    • ACAMS
  • Senior Vice President, APAC Head of Financial Crime Analytics and Data Science | Citibank | DAN Ting Lip講座

    Dan Ting Lip heads the APAC AML Financial Crime Analytics and Data Science (FCADS) function in Citi. In this capacity he leads a regional team of 30 statisticians and data engineers executing the end-to-end design and maintenance of the AML transaction monitoring rules and models globally and in line with policies and regulatory guidance.

    His responsibilities include formulating standards, procedures, and execution strategy to develop AML tools (e.g., segmentations, scenarios, risk scoring models, etc.). He assures that the solutions are appropriate for the intended purpose, are mathematically and statistically sound, and are periodically reviewed and challenged.

    Dan has 20 years+ of experience in data management and analysis, specializing in risk modeling – development and validation, Account and Customer Segmentation, Data Warehousing, Business Intelligence, Data Quality, Governance and Remediation, MIS and business reporting.

    He has Project Management certification and 12+ years of experience in the AML space.

    Dan holds a Master’s Degree in Applied Statistics from University Malaya and Bachelor’s degree in Applied Statistics from University of Science, Malaysia.

  • Global Head of New Ventures and Senior Asia Pacific Leader | ACAMS | Hue Dang, CAMS-Audit
    公認反洗錢師協會 全球協會事業拓展執行長 鄧芳慧 (CAMS-Audit)講座

    鄧芳慧女士於 2008 年在香港設立亞太區總部,現任 ACAMS全球協會事業拓展執行長。

    鄧女士是取得進階認證的反洗錢專家,專門於審計方面 (CAMS-Audit),發表了白皮書《金融共融,發展中的經濟體系以及在 AML / CTF 中有效實施基於風險的方法:需要立法和監管領導層,以激發私營部門的承諾和審計的作用》
    (Financial Inclusion, Developing Economies, and Effective Implementation of the Risk-Based Approach in AML/CTF: The Need for Legislative and Regulatory Leadership to Motivate Private Sector Commitment & the Role of Audit.)

    鄧女士在亞洲各地進行了許多反洗錢培訓,包括為中央銀行,金融機構和大學提供的培訓。她還是 ACAMS 亞太區所有培訓活動計劃的主席,包括亞太區三個年度反洗錢和反金融犯罪會議(亞太區,印度次大陸和大洋洲),以及在新加坡、香港、臺北、東京、北京、上海、雅加達、吉隆坡、馬尼拉、澳門和首爾舉行的研討會。她經常在所屬地區,歐洲和美國的反洗錢會議上演講。她還執行年度 Train-the-Trainer 計劃,以培訓受 ACAMS 認證的培訓專家。

    鄧女士在金融業擁有超過 25 年的經驗。她曾是波士頓美國聯邦銀行的銀行審查員,新加坡巴克萊資本投資銀行經理,新加坡花旗全球消費者銀行全球消費者銀行業務發展總監。在擔任湯姆森金融 (Thomson Financial) 亞太地區業務發展總監和湯姆森金融出版有限公司 (Thomson Financial Publishing) 駐香港總經理期間,於2001 年成立了首個亞太區金融市場新聞門戶網站 ”Thomson Capital Markets Asia” (TCMAsia.com)。

    In her current role as Global Head of New Ventures, Hue Dang is responsible for developing and identifying new business development opportunities to expand ACAMS’s remit beyond training/education and community-building efforts. She is leading the effort to develop and provide solutions to assist regulated entities to meet their anti-financial regulatory obligations with solutions to mitigate risk in a systematic and systemic manner, with a focus on AML/ CFT/ Sanctions/ Suspicious Activities Risk Assessments. At the same time, her efforts are expected to assist regulators to meet their expanding supervisory responsibilities as more sectors are incorporated into AML regimes to meet with global standards as set by the Financial Action Task Force, and recent developments emerging from the US AML Act of 2020, and the FinCEN priorities issued in 2021.

    Ms. Dang joined ACAMS in 2008, establishing its APAC office as Head of Asia-Pacific and launched its business in the region. During her 12 years in this role, she fostered development of the anti-money laundering/financial crime community by building relationships among key stakeholders, including regulators, law enforcement, financial institutions, and industry associations and working groups. She also helped industry professionals improve their skills and career advancement through training, certification and networking opportunities.

    Ms. Dang is an Advanced Certified Anti-Money Laundering Specialist, specializing in Audit (CAMS-Audit), having published a whitepaper, “Financial Inclusion, Developing Economies, and Effective Implementation of the Risk-Based Approach in AML/CTF: The Need for Legislative and Regulatory Leadership to Motivate Private Sector Commitment & the Role of Audit.” She conducted numerous AML trainings around Asia Pacific, including for central banks, financial institutions, and universities. A frequent speaker in APAC, US and Europe, Ms. Dang was the Program Chair for all ACAMS-APAC training events, including the three Annual AML and Financial Crime Conferences (APAC, Indian Subcontinent and Australasia), and annual symposia held in Singapore, Hong Kong, Taipei, Tokyo, Beijing, Shanghai, Jakarta, Kuala Lumpur, Manila, Macau and Seoul.

    Ms. Dang has over 25 years’ experience in banking and finance. She was a Bank Examiner at the Federal Reserve Bank of Boston, Manager with Barclays Capital’s Investment Banking Division in Singapore, Director of Business Development at Citibank’s Global Consumer Banking Group in Singapore. In her positions as Director of Business Development, Asia/Pacific, for Thomson Financial, and General Manager of Thomson Financial Publishing, based in Hong Kong, she also developed the first-ever financial-markets news portal for the APAC region, “Thomson Capital Markets Asia“ (TCMAsia.com), launched in 2001.

    Ms. Dang holds educational degrees from the US, with a Bachelor of Arts, with honors, from Amherst College and a Master in Public Policy from Harvard University, John F. Kennedy School of Government.

  • Senior Vice President and General Manager, Legal Compliance Department | Hua Nan Financial Holdings Co. Ltd. | HSU Kun Su
    華南金融控股股份有限公司 法令遵循處處長暨法令遵循部經理 許坤樹 講座
    • 現任金控法令遵循單位主管
    • 現任銀行法令遵循暨洗錢防制單位主管
    • 歷任銀行之營業單位主管
    Present:
    • Senior executive in compliance and anti-money laundering in a financial holding company.
    • Senior executive in compliance and anti-money laundering in banking industry.
    Past:
    • General Manager of domestic branches.
  • Chairman | Institute of Internal Auditor, Chinese Taiwan & Advisor | Darwin Venture Management Co. Ltd.
    中華民國內部稽核協會 理事長 暨 達盈管顧公司 顧問 黃允暐講座

    黃允暐目前為中華民國內部稽核協會理事長及達盈管顧公司顧問。他有超過25年的銀行工作經驗,包括電子金融、現金管理產品、金融科技、法令遵循與內部控制等,並在AML/CFT領域有15年以上的經驗,包括: 通匯銀行,CDD/EDD, 制裁掃描,交易監控,異常交易調查與可疑交易申報等。他曾於國泰世華商業銀行,擔任總機構法遵主管及洗錢防制專責主管,也曾任職於中華開發金控及工業銀行,美國銀行,花旗銀行與匯豐銀行等。 黃先生是從國立中央大學資訊管理系獲得學士學位,並自國立政治大學先後獲得商學碩士與法學碩士,目前也在國立政治大學商學院資訊管理系進修DBA博士。

    Brian Huang is currently the chairman of the Institute of Internal Audit, Chinese Taiwan, also serves as an advisor for Darwin Venture Management Co., Ltd. He has over 25 years of banking experience including digital banking, cash management products, Fintech, Compliance, Internal Control and over 15 years in AML/CFT including: Correspondent Banking, CDD/EDD, Sanctions Scanning, transaction monitoring, SAR investigation and reporting. He used to work in Cathay United Commercial Bank as Chief Compliance & AML officer, and has ever worked in China Development Financial Holdings and Industrial Bank, Bank of America, Citibank and HSBC and others. Mr. Huang obtained a bachelor's degree from the Department of Information Management, National Central University, and holds MBA and LLM degree , both from National Chengchi University. He is currently studying for DBA (Doctor of Business Administration) program in National Chengchi University.

  • Prosecutor | Taiwan New Taipei District Prosecutors Office | LEE Ping Chi
    臺灣新北地方檢察署 檢察官 李秉錡 講座
    • 臺灣新北地方檢察官檢察官
    • 法務部派駐金融監督管理委員會檢察官
    • 法務部選派至荷蘭奈梅亨大學訪問學者
  • AML Director – APAC | ACAMS | Caryn Leong, CAMS
    公認反洗錢師協會 亞洲區反洗錢合規策略總監 Caryn Leong, CAMS講座

    Caryn is the Regional Anti-Money Laundering (AML) Director – APAC for ACAMS, where she is the lead English speaking SME practitioner on AML and Financial Crime Compliance across the APAC region. Working closely with APAC and international colleagues, Caryn plays a key role in shaping ACAMS priorities, offerings, and activities across the APAC region.

    Caryn brings to ACAMS a wealth of AFC global banking experience that spans Standard Chartered, JP Morgan, Clearstream Banking, UBS AG, ABN Amro and Bank of America. Most recently she was the Head of Financial Crime Compliance Controls, Surveillance Excellence with Standard Chartered Bank, where she was responsible for the end to end process, governance, and risk management of the group wide alert disposition process. Caryn’s expertise covers Client Due Diligence, financial crime business advisory, project management, governance, risk management, and the overarching financial crime compliance framework.

  • AML Director – Greater China | ACAMS | Lynn Li, CAMS-Audit
    公認反洗錢師協會 大中華區反洗錢合規策略總監 李娜 (CAMS-Audit)講座

    李娜女士現任ACAMS公認反洗錢師協會大中華區反洗錢合規策略總監。李娜擁有20多年的銀行業經驗。她先後在多家國際銀行、金融科技公司擔任中國反金融犯罪合規總監,並在國際知名諮詢公司擔任反金融犯罪合規合夥人。

    李娜女士在外資銀行任職期間參加了FATF對中國的第一次評估。李娜被監管委任為機構洗錢風險評估工作組牽頭人,參與設計了地方金融行業機構洗錢風險評估標準。李娜在知名諮詢公司合夥人期間帶領團隊支持中國FATF第四輪互評項目。

    李娜在2008年到2015年間每年都被PBOC評為“反洗錢傑出個人”。2013年被評為國家級“反洗錢傑出個人”。2014年,帶領團隊榮獲“卓越反洗錢機構”稱號。2018年,李娜女士帶領團隊設計的人工智能盡職調查服務的解決方案獲得了英國貿易部授予的金融技術獎項。李娜女士被委任為浙江省跨境電商綜合服務應用技術協同創新中心專家。

    李娜女士多次受到中國人民銀行、中國銀行業監督管理委員會、中國銀行業協會、國際商會、中國工商銀行、中國銀行、中國銀行香港分行、臺灣金融研究所、中國人民保險、中國建設銀行、交通銀行、中國銀聯、黃金交易所、中國註冊會計師協會、中國保險行業協會等的邀請。為監管者、高級管理層、合規人員提供講座和培訓。

    Lynn Li, CAMS-Audit, is currently the AML Director – Greater China of ACAMS. She has more than 20 years of work experience in financial institutions. She has served as Chief Compliance Officer of Anti-Financial Crime department in several international banks and financial technology companies in China, and has also served as partner of a compliance service line in well-known international consulting companies.

    Ms. Li participated in the FATF's first assessment of China during her tenure in a foreign bank. She was granted "Outstanding Anti-Money Laundering Individual" by PBOC every year from 2008 to 2015. In 2013, she was rated as a national "outstanding anti-money laundering individual". In 2014, the financial institution that she served won the title of "Outstanding Anti-Money Laundering Organization".

    In 2018, the artificial intelligence due diligence service solution designed by the team which Ms. Li led won the financial technology award from the British Trade Department.

    She was appointed as an expert of Zhejiang Cross-border E-commerce Integrated Service Application Technology Collaborative Innovation Center.

  • Head of Legal and Compliance Department | Bank of China Taipei Branch | Ray Liu, CAMS
    中國銀行台北分行 法律合規部副總經理/法令遵循主管 劉書良 (CAMS)講座

    Ray擁有逾25年的金融從業經驗。2013年加入中國銀行台北分行服務,目前主管法律合規部,負責分行的反洗錢委員會運作、制定/督導法令遵循管理和洗錢防制反資恐內部規章、辦理相關內部訓練以及擔任主管機關聯絡窗口。在加入中國銀行前,他在花旗台灣服務近10年,分別從事法令遵循、主管機關聯絡窗口以及內部稽核等相關工作。在加入花旗前,他也曾服務於多家外商銀行與外商壽險公司服務,從事進出口貿易金融與授信相關作業以及內部稽核工作。

    Mr. Liu has over 25 years' experience in the banking industry. He joint Bank of China Taipei branch in 2013 and is currently the Head of Legal and Compliance Department. He is responsible for running the bank's AML committee, developing AML/CFT and Compliance policies and procedures, conducting internal AML and Compliance training and liaison of regulatory relationship. Prior to joining BOC, he has 10 years Compliance and Control experiences in Citi Taiwan. Prior to BOC and Citi, Mr. Liu also worked with other foreign banks and insurance company in various functions, including trade finance, loan operations, and internal audit.

    Mr. Liu received his Master degree from Soochow University (LLM) and National Taiwan University (PMLBA), Taiwan.

  • An experienced banking executive & former compliance head | MLRO of international banks specializing in financial crime compliance | Paul Shelton
    前銀行業高管、國際銀行的合規主管及洗錢報告官 金融犯罪合規專家 Paul Shelton講座

    Paul Shelton - an experienced banking executive with a 30-year history of working for the Asia Pacific branches of major international financial institutions, 17 years in Japan, 3 years in Singapore and Australia (respectively) and 8 years in Hong Kong. Paul is now based in Taipei.

    In addition to being a Head of Legal & Compliance and MLRO at these institutions Paul has concentrated, in the last 10 years of his career, on all aspects of KYC, Transaction Monitoring, Sanctions, Trade Based Money Laundering and other related aspects of Financial Crime Compliance.

    Paul is very experienced in working with financial regulators across Asia Pacific, interpreting their expectations, undergoing inspections and reviews and ensuring the timely resolution of any regulatory issues.

    Paul has degrees in law, commerce and arts from the University of Queensland, Australia and was an admitted Solicitor of the Supreme Court of Queensland before embarking on his Asia Pacific banking career.

  • Executive Secretary | Anti-Money Laundering Office, Executive Yuan | SU Pei Yu
    行政院洗錢防制辦公室 執行秘書 蘇佩鈺講座
    學歷:
    • 國立臺灣大學法律系
    • 國立臺北大學法律研究所
    • 美國哈佛法學院訪問學者
    • 荷蘭RADBOUD法學院訪問學者
    經歷:
    • 臺灣臺北地方檢察署檢察官
    • 臺灣士林地方檢察署檢察官
    • 法務部檢察司調部辦事檢察官
    • 臺灣苗栗地方檢察署主任檢察官
    • 臺灣士林地方檢察署主任檢察官
    • 臺灣士林地檢署襄閱主任檢察官
    • 臺灣高等檢察署檢察官
    • 行政院洗錢防制辦公室執行秘書
  • Executive Vice President, Head of Anti-Money Laundering Department, Fubon Financial Holding, Head of Financial Safety Department, Taipei Fubon Bank | Fubon Financial Holding Co., Ltd. | TSAI Pei Ling, CAMS, CGSS
    富邦金融控股股份有限公司 富邦金控法遵暨法務處洗錢防制部主管 台北富邦銀行金融安全部主管 副總經理 蔡佩玲 (CAMS, CGSS)講座
    重要經歷::
    • 行政院洗錢防制辦公室組長兼任法務部調部辦事檢察官
    • 臺灣桃園地方檢察署檢察官
    • 臺灣臺北地方檢察署檢察官
    • 東吳大學助理教授
    • 經濟部著審會官方審查委員、金管會金融創新科技實驗委員會官方審查委員、法務部參與TIFA談判代表
    • 法務部高階金融證照講師、司法官學院、法官學院、內政部警政署、行政院海洋委員會海巡署、財政部關務署、中央銀行、法務部調查局等公部門教育訓練講座 (2016-2020)
    • 金融研訓院菁英講座 (2018、2019、2020年)、證基會「GOPROS培訓計畫」講座 (2020年)、金融研訓院、證券暨期貨發展基金會、保險發展基金會、保險犯罪防制中心、各金控及金融機構董監事會與一般教育訓練講座 (2016-2022年)
    • 衛生福利部、教育部、新北市政府、台北市政府非營利組織教育訓練講座 (2018-迄今)
    • 財政部107年度、108年度自行研究報告評審委員 (財政部研究發展獎勵作業要點)
    • 聯合國毒品及犯罪辦公室 (UNODC) 區域研習會講師 (2019.3.)
    • 國際反洗錢師協會 (ACAMS) 第11屆亞太新加坡年會報告人 (2019.4 )、第1屆南韓年會報告人 (2019.10)、2019年第四季全球關注人物 (ACAMS TODAY)
    學歷:
    • 國立政治大學法學士
    • 國立政治大學法碩士
    • 國立交通大學博士候選人
    專業資格:
    • 中華民國律師
    • 亞太防制洗錢組織(APG)評鑑員
    • 國際防制洗錢組織(FATF)評鑑員
    • 國際公認反洗錢師(CAMS)證照
    • 國際公認反制裁師(CGSS)證照
    專長:
    • 洗錢防制、資恐防制、相互評鑑、國際談判
    WORK EXPERIENCE:
    • 2005.1 – 2005.7 | INTERN LAWYER, LEE & LI, ATTORNEY AT LAW
    • 2005.8 – 2008.7 | INTERN JUDGE/PROSECUTOR, JUDICIARY ACADEMY
    • 2008.8 – 2012.8 | PROSECUTOR, TAOYUAN PROSECUTORS OFFICE
    • 2012.9 – 2014.9 | PROSECUTOR, TAIPEI PROSECUTORS OFFICE
    • 2014.9 – present | PROSECUTOR, DEPARTMENT OF PROSECUTORIAL AFFAIR, MINISTRY OF JUSTICE
      • Drafted Amendment of Anti-Money Laundering Act and re-Amendment of AMLA
      • Drafted Counter-Terrorism Financing Act and Amendment of CTF/CPF ACT
      • Formed Anti-Money Laundering Office
      • Formulated national ML/TF searching database
      • Formulated the training program for public and private sectors
      • Contacted with foreign counterpart with TF/PF issues and
    • 2017.3 – present | CHIEF OF POLICY UNIT, ANTI-MONEY LAUNDERING OFFICE, EXECUTIVE YUAN
      • Led the preparation of 3rd round APG mutual Evaluation
      • Planned and Implemented National ML/TF Risk Assessment Project
      • Planned and Implemented DNFBPs Risk Assessment and Guidance Project
      • Planned and Implemented NPOs Risk Assessment and Guidance Project
      • Planned TF/PF workshop co-hosted by foreign counterpart
    • 2021.5 – present | EXECUTIVE VICE PRESIDENT, FUBON FINANCIAL HOLDINGS EXECUTIVE VICE PRESIDENT, TAIPEI FUBON BANK
      • Led the eAML project
      • Planned and Implemented Institutional Risk Assessment Project
      • Drafting Group AML/CFT Policy and Regulation
      • Monitoring Group AML/CFT implementation effectiveness
    EDUCATION:
    • 1999-2003
      BACHELOR’S DEGREE, LAW
      National Cheng-Chi University
    • 2003-2007
      MASTER’S DEGREE, LAW
      National Cheng-Chi University
    • 2011-expected 2022
      DOCTOR’S DEGREE, LAW
      National Chiao Tung University
    PUBLICATION:
    • Monetary order or rule of monetary game? – Comment on AML ACT Amendment (2017)
    • Introduction to International Trends of Money Laundering and the New Amendment of Anti-Money Laundering (2017)
    • Introduction to Amendment of Anti-Money Laundering Act (2017)
    • Critical Path in the Future after 3rd round Mutual Evaluation: Establishing Culture of Compliance (2018)
    • International Trends of Lawyers Role in AML region (2017)
    • Introduction to newly passed Counter-Terrorism Financing Act (2018)
    • Introduction and Comment on APG 3rd round mutual evaluation – Taiwan’s Experience (2018)
    RELEVANT COMPETENCES:
    • TRAINEE OF 3RD ROUND MUTUAL EVALUATION ASSESSOR TRAINING IN INDIA (2015.12)
    • ASSESSOR OF THAILAND 3RD ROUND MUTUAL EVALUATION (2016-MID 2017)
    • CAMS CERTIFICATE issued by ACAMS (2018.2)
    • CGSS CERTIFICATE issued by ACAMS (2021.10)
    • KEYNOTE SPEAKER OF ACAMS REGIONAL CONFERENCE (2017 & 2018)
    • INVITED AS A TRAINER TO THAILAND FOR AML/CFT CAPACITY BUILDING CONFERENCE (2017)
    • TRAINER OF AML/CFT OF TAIWAN ACADEMY OF BANKING AND FINANCE (2016-PRESENT), AWARDED AS YEARLY BEST TRAINER
    • TRAINER OF MOJ PROSECUTORS/JUDGES YEARLY AML/CFT TRAINING (2015-PRESENT)
    • INVITED AS TRAINER FOR MORE THAN 80 TIMES TO LOTS OF FINANCIAL INSTITUTIONS (2015-PRESENT)
    • TRAINEE OF U.S. DEPARTMENT OF TREASURY (2018.4)
    • TRAINEE OF FATF TREIN ON COMBATING PROLIFERATION FINANCING (2018.8.21-24)
    • TRAINEE OF U.S. DEPARTMENT OF STATE ON SANCTIONS IMPLEMENTATION & ENFORCEMENT (2018.12)
    • TRAINEE OF RUSI WORKSHOP ON COUNTER-PROLIFERATION FINANCE (2018.12)
  • Associate Professor | National Taiwan University College of Law | Prof. YANG Yueh Ping, Alex
    國立臺灣大學法律學院 副教授 楊岳平講座

    楊岳平副教授目前任教於臺灣大學法律學系。楊副教授於於2017年取得哈佛大學法學博士學位後,即於臺灣大學任教至今,目前的主要研究興趣為金融監理與公司治理,包括金融科技、金融機構治理、金融消費者保護、資本市場、國際金融等。楊副教授目前為臺灣財團法人金融消費評議中心的監察人、臺灣大學亞洲WTO暨國際衛生法與政策研究中心主任以及臺灣大學金融科技研究中心研究員。

    Yueh-Ping (Alex) Yang is an associate professor at the National Taiwan University College of Law ("NTU Law"). He received his S.J.D. degree at Harvard Law School in 2017 and started teaching at NTU Law since then. His research interest focuses mainly on financial regulation and corporate governance, including FinTech, financial institution governance, financial consumer protection, capital markets, international finance, etc.

    Currently, he is the supervising director of Taiwan's Financial Ombudsman Institution, director of NTU Law's Asian Center for WTO & International Health Law and Policy, and a research member of NTU's FinTech Center. He provides legal advice to Taiwan's AML Office and Financial Supervisory Commission from time to time, particularly on FinTech regulation issues.

-活動資訊-

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2023年1月11日(星期三) 上午9:00至下午5:00
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  • 各金融機構(含金控、銀行、證券、保險)之內控稽核、法遵法務、風險管理、財富管理、外匯、國際金融、貿易融資、存匯、企業金融、財務部門主管及從業人員;
  • 金融業者相關公會及周邊單位主管及人員;
  • 大專院校財金相關科系師生;
  • 經濟金融相關研究單位研究人員;
  • 律師及會計師事務所主管及從業人員;
  • 對本議題有興趣之人員。
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