AML For Reporting Institutions and The Role of RegTech in Combating Money Laundering by James Chin

RM260.00

Date	12 June 2025, Thursday (Full-Day Online CE Workshop)
Time	9.00am – 5.00pm
CE/CPE	10 FPAM CE Points / 10 SIDC CPE Points (Pending Approval) / 8 FiMM CPD Points (Pending Approval)
Facilitator	James Chin

SKU: N/A Category: Workshops

Year after year, through the financial sector, hundreds of billions of dollars of illegally derived money are laundered through financial institutions such as consumer banks and investment banks. Besides hiding the revenues of illegal activities, money laundering harms a country’s economy and pose many risks to businesses.

It is important for frontliners in Consumer Banks and Investment Banks to identify red flag indicators and suspected transactions and report them accordingly. Many a times, some form of investment may be made by the client in the process of money laundering in the layering stage. As such, it is important to establish a strong Customer Due Diligence at the point of establishing business relations. This course will cover various case studies in the money laundering process which involves various investment products.

This course will also cover the role and advantages of RegTech in combating money laundering in the financial system.

Learning Outcome

By the end of the course, participants will be able to:

Identify the process of various money laundering activities
Identify money laundering activities for reporting institutions
Recognise the role and advantages of RegTech in combating money laundering
Identify the Code of Ethics for capital market and wealth management products and its role in AML

Learning Outline

Time	Description
9.00 am – 10.00 am	Anti Money Laundering (AML) – Introduction and applicability for reporting institutions – The 3 stages of money laundering
10.00am – 11.00am	Risk-Based Approach Application – Risk assessment and profiling – Policies and procedures on conducting risk profiling
11.00am – 11.15am	Morning break
11.15am – 12.30pm	Customer Due Diligence (CDD) – CDD at the point of establishing business relations – Requirements for non-face-to-face business relations – On-going CDD – Enhanced CDD – Politically Exposed Persons
12.30pm – 2.00pm	Lunch break
2.00pm – 3.00pm	Suspicious Transactions involving Capital Market and Wealth Management Products – Examples of suspicious transactions – Reporting of suspicious transactions
3.00pm – 3.45pm	Technology Reshaping the Industry – Overview of Regulatory Technology (RegTech) – Role of RegTech in combating money laundering – Advantages of RegTech
3.45pm – 4.00pm	Afternoon break
4.00pm – 4.45pm	Code of Ethics – Capital Market and Wealth Management Products – Ethical standards and professional conduct – Marketing and distribution of collective investment scheme – Role in AML
4.45pm – 5.00pm	Post-Assessment / Closing – Multiple choice questions for participants to complete the course.

Facilitator

James Chin

James Chin is a HRD Corp Accredited Trainer who specialises in investment and global economy with more than 2 decades of experience in the financial industry. He was formerly a Director at CIMB Private Banking and CIMB Principal Asset Management and was previously a licensed Capital Market Services Representative (CMSR) holder for fund management from the Securities Commission of Malaysia. He currently conducts training for banks and MNCs on investments, financial planning and leadership.

James obtained his Commonwealth Executive Master of Business Administration from Wawasan Open University and is also an Institute of Chartered Secretaries and Administrators (ICSA) graduate. He lectured part-time at Wawasan Open University on Leadership, Marketing and Organisational Management courses

Terms & Conditions

Registration is on a first-come-first-served basis, only 30 seats are available.
Participants need to sit in for the workshop throughout the day to receive the certificate and to fulfill the endorsement of points.
Confirmation is subject to receipt of payment before the workshop.
FPAM reserves the right to amend the program, speaker, date, venue, etc, without prior notice.

Frequently Asked Questions

1. How long will each physical program take?

Each physical program is the equivalent of a day’s CE Workshop training for approximately 8 hours with the morning & afternoon coffee break and lunch in between. The duration of the program excluding the break is 6 hours.

2. Can I attend only half the sessions of the training?

You will need to sit in for the session throughout the day unless you have a valid reason or a copy of proof.

3. Mode of payment?

We accept payment by credit / debit card (VISA / MasterCard / AMERICAN EXPRESS / Discover), by FPX (Affin Bank, Alliance Bank, AmBank, Bank Islam, Bank Muamalat, Bank Rakyat, BSN, CIMB Clicks, Hong Leong Bank, HSBC Bank, KFH, Maybank2E, Maybank2U, OCBC Bank, Public Bank, RHB Bank, Standard Chartered, UOB Bank).

4. How secure is shopping? Is my data protected?

Your data will be handled confidentially and encrypted with SSL (Secure-Socket-Layer) secure server software. The encrypted information of your order, your name, address, credit card, and bank details cannot be retrieved by any third party. Credit card payments will also be verified through the 3D secure procedure.

5. Who should I contact if there is any transactional issue or problem purchasing any product/service?

Kindly drop a message below with the problem statement, and we will get back to you as soon as possible.