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Tuesday, December 4
08:00 – 09:00
Badge Check-in/Registration
09:00 – 9:30
Welcome
09:30 – 10:00
Opening Remarks
10:00 – 11:30
Governance and Management Oversight
  • A. Risk Assessment
  • B. Roles and Responsibilities
  • C. Management Oversight in Trade Finance
  • D. Independent Assurance and Testing
  • E. Internal Reporting and Role of Compliance Officer or MLRO
  • F. Best Practices/Case Study
11:30 – 12:30
Networking Lunch
12:30 – 14:00
Customer Due Diligence
  • A. Policies and Procedures
  • B. Identifying the Customer for the Application of Due Diligence Measures
  • C. Wolfsberg Due Diligence Questionnaire
  • D. Effective Information Sharing
  • E. Best Practices/Case Study
14:00 – 15:30
Transactions Surveillance
  • A. TBML Red Flags/BAFT Guidance for Identifying Potentially Suspicious Activity in LCs and Documentary Collections
  • B. Documentary Review
  • C. Sanctions Screening and Payments Message Screening
  • D. Post Event Transaction Monitoring – Trends and Patterns Analysis
  • E. Best Practices/Case Study
15:30 – 16:00
Networking Coffee/Tea Break
16:00 – 17:00
Suspicious Transaction Monitoring/Record Keeping
  • A. Best Practices
17:00 – 17:30
Open Account Trade Considerations
17:30
Wrap Up