St. John's Room, Ground Floor NH Grand Hotel Krasnapolsky
Dam, 9. 1012 JS
St. John's Room, Ground Floor
NH Grand Hotel Krasnapolsky
Thursday 30th October, 2014
11:00 - 14:00
Sanctions and Anti-Money Laundering Uncovered
Current sanctions and AML activity and the enforcement by regulators of these regimes are at unprecedented levels, exposing businesses to significant regulatory risk. The repercussions of non-compliance are well-known, but ambiguous and continuously evolving sanctions and AML regimes leave financial institutions and responsible officers facing the immense challenge of implementing fully comprehensive programmes. Join us for this informative, discussion-led seminar followed by an exquisite networking lunch.
Current sanctions and AML activity and the enforcement by regulators of these regimes are at unprecedented levels, exposing businesses to significant regulatory risk.
The repercussions of non-compliance are well-known, but ambiguous and continuously evolving sanctions and AML regimes leave financial institutions and responsible officers facing the immense challenge of implementing fully comprehensive programmes.
Join us for this informative, discussion-led seminar followed by an exquisite networking lunch.
Please contact Magalie Pimentel if you have any queries.
Key Note Speakers:
Lucy Frew, Head of Financial Regulatory, Kemp Little, will discuss the financial sanctions and anti-money laundering requirements regimes and their impact on EU financial institutions.
James Redfern, Managing Director, CounterpartyLink, will explore 'Gathering Legal Entity Intelligence to meet KYC standards of due diligence'
Rupert de Ruig, Managing Director, EMEA & APAC, RDC, will delve into strategies to address enhanced sanctions and AML requirements while maintaining optimum levels of efficiency and protection
Grahame White, President, Board, ACAMS UK Chapter.
Lucy is a financial services and markets lawyer advising on all aspects of UK and EU financial regulation. She joined Kemp Little LLP as a partner in the Financial Regulatory practice in June 2014. Lucy has particular experience of advising on investment funds, cross-border business, bribery and corruption prevention and financial crime. Her practice also offers a particular focus on financial regulation at the intersection between technology and the financial sector.
Lucy has over 14 years experience in the City advising leading and international financial institutions but also start-ups, both in private practice and in-house as legal counsel at UBS AG. She also has eight months inside experience seconded to the Financial Services Authority.
Lucy has contributed to leading texts on banking and investment regulation and is listed as an individual in the Legal 500. She has frequently commented on financial regulatory matters in the press, including the FT and leading industry publications, and is a regular speaker at conferences, contributor to professional publications and active participant in industry working groups.
James is a financial markets specialist and has been involved with the financial services and information industry for over 25 years. He was appointed Managing Director of CounterpartyLink in 2011, and since then, client numbers have grown five-fold. James is involved with all aspects of sales and marketing at the firm and also is responsible for looking for strategic re-seller channels for its products.
Having been at CounterpartyLink since its foundation in 2005, he has an in depth knowledge of the all aspects of the collection and maintenance of client and other data, to meet KYC and AML need in the financial markets, in particular the challenges faced in the current regulatory environment.
Prior to CounterpartyLink James was at Cicada, a provider of high-frequency information technology to the exchange industry where he was responsible for channel partnerships and vendor management. Prior to that, he was the global manager for Specialist Data Services at Reuters, and before that worked for ADP and Citibank (Quotron).
As managing director, EMEA & APAC, Rupert is responsible for RDC’s international expansion, driven by steadily increasing demand for its solutions from European and Asian companies.
Based in the UK, Rupert has more than 20 years’ experience in the information industry and has worked with many of the world’s largest financial institutions and regulators on anti-money laundering, anti-corruption and risk management projects. Before joining RDC, he worked for Dow Jones where he managed the research, product and business development of their anti-money laundering, anti-corruption and sanctions products.
Rupert is a frequent speaker at numerous global industry events and conferences such as the Dow Jones Global Compliance Symposium, IMLPO, and ACAMS, and has also written numerous articles for international publications.
Grahame has a substantial network of contacts in the European anti-money laundering regime having spent two years working closely with senior figures to support their staff and organizations on AML qualifications, training and staff career development.
Previously a Detective at the National Terrorist Financial Investigations Unit at New Scotland Yard, Grahame has substantial counter terrorist financing experience and was a designated financial investigator for Operation Crevice (the fertilizer plot and the 7/7 suicide attacks on the London Transport Network.