第 1 頁 ，共 18 頁

Annual Country Conference / Symposium Series- “Enhanced AML and Financial Crime Tools & Techniques”

11th Annual Taiwan Conference 16 January 2020 | Taipei

Hua Nan Bank International Convention Center No.123, Songren Road, Xinyi District

Taipei City, Taiwan, R.O.C. 公認反洗錢師協會年度地區會議 / 研討會系列

「加強防制洗錢 / 打擊金融犯罪實用工具和技巧」

第十一届台灣地區會議

2020 年 1 月 16 日

華南銀行國際會議中心

台灣台北市信義區松仁路123號

Co-Organizer:

Taiwan Academy of Banking and Finance (TABF)

合作伙伴

台灣金融研訓院

(Simultaneous Translation between English & Mandarin Chinese will be provided.)

（提供英中同傳翻譯）

08:00 – 09:00 Registration and Morning Tea 登記和早茶

09:00 – 09:20 Welcome Remarks 開幕致辭

Hue Dang, CAMS-Audit, Head of Asia Pacific, ACAMS 公認反洗錢師協會 亞太區執行長 鄧芳慧 (CAMS-Audit)

Dr. WU Chung-Shu, CAMS-Audit, Chairman, Taiwan Academy of Banking and Finance 台灣金融研訓院 董事長 吳中書 (CAMS-Audit)

09:20 – 09:30 The Anti-Financial Crime Professional of the Future Speaker 講者：

Rohit Sharma, CAMS, President & Managing Director, ACAMS 09:30 – 09:50 Keynote Address 主題演講

第 2 頁 ，共 18 頁

Speaker 講者：

Tien-Mu Thomas Huang, Vice Chairperson, Financial Supervisory Commission 金融監督管理委員會 副主任委員 黃天牧

09:50 – 10:45 Regulatory Update: Analyzing Regional AML Trends and New Developments

法規最新進展：分析亞太地區防制洗錢的監理趨勢與最新動向

Analyzing recent and upcoming regulatory changes impacting AML and compliance functions

分析近期與將來監理制度變化對防制洗錢與法規遵循職能的影響

Understanding critical concerns for APAC regulators, including policy changes that affect AML policies and procedures 理解亞太區監理機構的首要隱憂，包括影響防制洗錢政策暨程序的法令及制度變更

Evaluating best practices on fighting financial crime to improve your AML regime 評估打擊金融犯罪的最佳實務，加強防制洗錢體系

Speakers 講者：

Hue Dang, CAMS-Audit, Head of Asia Pacific, ACAMS

公認反洗錢師協會 亞太區執行長 鄧芳慧 (CAMS-Audit)

HUNG Chen-Che, Chief, Banking Bureau, Financial Supervisory Commission

金融監督管理委員會 銀行局科長 洪振哲

10:45 – 10:55

Welcome of ACAMS Taiwan Chapter Board & Members

歡迎台灣反洗錢推廣協會理事及會員

10:55 – 11:15

Networking and Refreshment Break 交流和茶敘

11:15 – 12:15

Sharing Best Practices: How Securities Companies, Insurance Companies and Banks can Share Best Practices on AML/CTF 最佳實務共享：證券保險業與銀行業針對防制洗錢 / 打擊資助恐怖活動分享最佳實務

Defining institutional risk appetite and tolerance to build awareness by frontline staff 定義機構風險胃納與承受能力，以利一線員工建立適當認知

Conducting risk-based assessment and training to improve the AML culture of compliance in areas such as CIP, KYC/CDD, and product lines 執行風險評估與培訓，在客戶身分識別、了解您的客戶 / 客戶盡職調查與產品系列等方

面，強化防制洗錢的法規遵循文化

第 3 頁 ，共 18 頁

Auditing AML controls and producing governance metrics to improve efficiency and effectiveness 查核防制洗錢控管程序並編製治理指標，以提升效益

Moderator 主持人： Joyce Hsu, CAMS-FCI, AML Director – North Asia, ACAMS 公認反洗錢師協會 北亞區反洗錢合規策略總監 許朧方 (CAMS-FCI)

Speakers 講者：

CHENG Chiao Ching, CAMS, Senior Vice President/Chief Compliance Officer, Fubon Securities Co., Ltd 富邦綜合證券股份有限公司 法遵暨法務部副總經理 鄭樵卿 (CAMS)

CHIN Pei-Hua, CAMS, V.P. & Deputy Division Chief, First Commercial Bank 第一商業銀行 法遵處洗錢防制部經理副處長 金佩華 (CAMS)

Joseph Kao, Chief Compliance Officer, Shin Kong Life Insurance Co., Ltd. 新光人壽保險股份有限公司 法遵長 高全國

12:15 – 13:15

Networking Luncheon 交流和午膳

13:15 – 14:15 Virtual Currencies and Cybercrime: Examining the Converging Methods of Cybercrime and Money Laundering around the Use of Virtual Currencies 虛擬貨幣和網路犯罪：探討與虛擬貨幣相關的網路犯罪及洗錢共同手法

Examining how virtual currencies are circumventing AML controls 探討虛擬貨幣如何規避防制洗錢控管

Investigating the techniques used by professional money laundering organizations to sidestep mitigation measures 調查專業洗錢組織迴避規避措施的手法

Illustrating recent examples to illustrate how money laundering is being conducted 以近期例子說明洗錢的進行方式

Moderator 主持人： Dr. William Scott Grob, CAMS-FCI, AML Director – APAC, ACAMS

公認反洗錢師協會 亞太區反洗錢合規策略總監 高威廉博士 (CAMS-FCI)

Speakers 講者：

Akil Baldwin, Attaché for Hong Kong, Macau & Taiwan, Homeland Security Investigations, U.S. Consulate General Hong Kong Sandeep Kothari, CAMS-Audit, FCC Product Management, Standard Chartered Bank

14:15 – 15:15 從盡職調查看加強盡調與實質受益人，及在交易監控上的運用

第 4 頁 ，共 18 頁

Moderator 主持人： Joyce Hsu, CAMS-FCI, AML Director – North Asia, ACAMS 公認反洗錢師協會 北亞區反洗錢合規策略總監 許朧方 (CAMS-FCI)

Speakers 講者：

Nadia Chen, Board Committee Member, ACAMS Taiwan Chapter, Chairperson, Female Leadership Committee, Taiwan Listed Companies Association ACAMS 台灣反洗錢推廣協會 理事成員 台灣上市櫃公司協會 女性領導人委員會 召集人 陳淑娟

SHANG Yu Ying, CAMS, Vice President, CTBC Bank 中國信託商業銀行 法令遵循處協理 尚玉瑛 (CAMS)

15:15 – 15:35 Networking and Refreshment Break 交流和茶敘

15:35 – 17:00 Interactive Workshop: Digital Identity and eKYC: How to Look at the Growing Technology Requirements and Financial Crime-related Risks 互動研討會： 電子身分與電子化了解您的客戶 (eKYC)：如何看待逐漸提升的技術需求及金融

犯罪相關風險

Analyzing how digital identities and eKYC fields used in digital banking and compliance systems 分析數位銀行及法規遵循制度如何應用電子身分與電子化了解您的客戶 (eKYC)

Reviewing examples for practical guidance on how to strengthen AML/CTF requirement in digital channels 參閱實用指引的範例，瞭解如何加強數位通路的防制洗錢 / 打擊資助恐怖活動的必備條

件

Detailing technology and project management best practices for understanding potential AML vulnerabilities 詳細說明技術與專案管理最佳實務，以利理解防制洗錢的潛在漏洞

Moderator 主持人： Dr. William Scott Grob, CAMS-FCI, AML Director – APAC, ACAMS

公認反洗錢師協會 亞太區反洗錢合規策略總監 高威廉博士 (CAMS-FCI)

Speakers 講者：

Brian Huang, Chief Compliance & AML officer, Cathay United Bank 國泰世華銀行 總機構法遵主管暨洗錢防制專責主管 黃允暐

YU Man Him, CAMS, Partner, Forensic & Integrity Services, Greater China, Ernst & Young Advisory Services Limited 安永（中國）企業咨詢公司 法政調查服務 合伙人 余文謙 (CAMS)

第 5 頁 ，共 18 頁

17:00 – 17:10 Closing Remarks 閉幕致辭

(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。)

第 6 頁 ，共 18 頁

Speaker Faculty 講者簡介

(Surname in Alphabetical Order 根據英文姓氏字母排序)

Keynote Address 主題演講

Tien-Mu Thomas Huang Vice Chairperson Financial Supervisory Commission Educational：

B.A., Department of Banking, National Chengchi University M.A., Institute of Interdisciplinary Studies for Social Sciences, National Sun Yat-sen University Doctoral Degree of University of Southern California Experience：

Division Director, Bureau of Monetary Affairs, Ministry of Finance (currently Banking Bureau of the FSC) General Secretary, Bureau of Monetary Affairs, Ministry of Finance Deputy Director-General, Bureau of Monetary Affairs, Ministry of Finance Chief Secretary, Financial Supervisory Commission Acting Director General, Financial Examination Bureau, Financial Supervisory Commission Director-General, Insurance Bureau, Financial Supervisory Commission Director-General, Securities and Futures Bureau, Financial Supervisory Commission 黃天牧委員

副主任

金融監督管理委員會

學歷：

國立政治大學銀行學系畢業

國立中山大學中山學術研究所碩士

美國南加州大學公共行政博士

經歷：

財政部金融局組長、主任秘書、副局長

行政院金融監督管理委員會主任秘書、代理檢查局局長

行政院金融監督管理委員會保險局局長

金融監督管理委員會保險局局長

金融監督管理委員會證券期貨局局長

第 7 頁 ，共 18 頁

Akil Baldwin Attaché for Hong Kong, Macau & Taiwan Homeland Security Investigations, U.S. Consulate General Hong Kong Akil Baldwin was selected as the Regional Attaché for Homeland Security Investigations in Hong Kong in August 2019. As the HSI Attaché, he provides investigative and programmatic oversight in support of HSI’s international mission in Hong Kong, Macau and Taiwan. Prior to his current assignment, Mr. Baldwin was the Assistant Special Agent in Charge (ASAC) for the Public Safety division at Homeland Security Investigations (HSI), New York. In this capacity, he oversaw a human smuggling group; three human trafficking groups; and a narcotics group. He also served a long term TDY as the acting Deputy Special Agent in Charge for the HSI New York El Dorado Financial Crimes Task Force. Mr. Baldwin served four years as the HSI Deputy Attaché in Brussels, Belgium where he had investigative oversight of HSI’s mission in Brussels and Luxembourg. Prior to serving overseas, Mr. Baldwin was assigned to the Homeland Security Investigations, Office of International Operations (IO) headquarters division as an Operations Manager supporting activities of the Attaché offices in Mexico and the Visa Security program. He also served as the acting Assistant Attaché in Brussels, Belgium; Mexico City, Mexico; Casablanca, Morocco; and Amman, Jordan. Mr. Baldwin began his career in 2002 as Special Agent at the HSI Washington, D.C. field office and was responsible for investigating extraterritorial human smuggling networks, transnational gangs and human rights violators. He is a graduate of the University of Maryland with the degree in Criminology. Mr. Baldwin is married and has two children. --------------------------

Nadia Chen Board Committee Member ACAMS Taiwan Chapter Chairperson Female Leadership Committee Taiwan Listed Companies Association Nadia Chen is currently ACAMS Taiwan Chapter Board Member and is also leading the Female Leadership Committee as the Chairperson. The Female Leadership Committee is one of the sub-committees under Taiwan

第 8 頁 ，共 18 頁

Listed Companies Association where she committed to elevate, improve and promote the female capacities and gender equality as well as the relevant issues for females in financial and industry sectors. She was previously the Country Executive for BNY Mellon in Taiwan until October 2019. Ms. Chen joined BNY Mellon (the largest Custody Bank in global) Global Client Management team in 2007 and was responsible for maintaining high-profile and c-suite level client relationships including government owned entities and financial institutions as well as maintaining open communications with regulators in Taiwan. A recipient of the BNY Mellon’s prestigious “Stars Award” in 2012, Ms. Chen was appointed the role of Country Executive for BNY Mellon in Taiwan in September 2014. Prior to BNY Mellon, Nadia served as the Chief Representative for Commerzbank AG Taipei Representative for Commerzbank AG Taipei Representative Office between 2002 to 2007. She joined Lloyds Bank Taipei Branch in 1988 and worked in other financial institutions in Taiwan including with ING Bank and Standard Bank of South Africa, totaling to over 30 years of extensive experience in the financial industry. Ms. Chen received her International Executive Master of Business Administration degree from the National Taipei University in 2006, and she has been actively involved in participating in alumni activities since then. In the most of her banking career, she is also active in participating drafting/advocating white paper/hot issues, including but not limited to compliance/AML, corporate governance, CSR, ESG and SDG etc., to regulators and societies via foreign and local commercial chambers or associations in Taiwan.

陳淑娟

理事成員

ACAMS台灣反洗錢推廣協會

召集人

女性領導人委員會

台灣上市櫃公司協會 陳淑娟女士目前除了是ACAMS台灣反洗錢推廣協會理事成員外，也擔任台灣上市櫃公司協會的女性領導

人委員會的召集人。她持續承諾提升、改善並倡導與女性能力及性別平權等相關議題。直到2019年10

中，她擔任美國紐約梅隆銀行台灣區總經理一職。

陳女士於2007年加入美國紐約梅隆銀行(全球最大保管銀行)全球客戶關係管理部門，主要負責紐約梅隆

在台灣與政府和金融機構客戶的高階客戶關係管理並保持與主管機關的良好溝通。她於2012年因傑出成

績而獲頒紐約梅隆最尊榮的紐約梅隆之星，並於2014年9月昇升台灣區總經理暨負責人。加入紐約梅隆

之前，她在2002年至2007年間擔任德國商業銀行台北辦事處的台灣區負責人及首席代表。她於1988年加

入英商駿懋銀行後，歷經荷蘭荷興銀行、南非標旗銀行、德國商業銀行至美國紐約梅隆銀行，已累積超

過30年的金融機構工作經驗。

陳女士於2006年取得國立台北大學國際金融專班碩士，並積極參與協辦系會活動。在她多年的銀行職業

生涯中，她也積極地投過外商及當地商業機構參與起草/倡導各類與金融及產業相關熱門議題及白皮

書，如法規遵循/防洗錢、公司治理、企業社會責任、ESG及SDG等日趨被注重的國際議題。

--------------------------

第 9 頁 ，共 18 頁

CHENG Chiao Ching, CAMS 鄭樵卿 (CAMS)

Senior Vice President/Chief Compliance Officer 法遵暨法務部副總經理

Fubon Securities Co., Ltd 富邦綜合證券股份有限公司

富邦證券法遵暨法務部副總經理 / 法令遵循主管 / 洗防專責主管

證券公會法務暨法遵委員會副召集人 /「證券商法令遵循風險管理及評估程序(CRA)實務參考」

工作小組召集人 / 「防制洗錢及打擊資恐工作小組」委員 /「防制洗錢及打擊資恐人員在職

班」講師

證基會「防制洗錢及打擊資恐人員資格取得班」講師

台灣金融研訓院「防制洗錢及打擊資恐政策及法令解析、實務與案例」編輯委員

公認反洗錢師(CAMS)

--------------------------

CHIN Pei-Hua, CAMS V.P. & Deputy Division Chief First Commercial Bank Ph.D.in Management, School of Business, Jilin University, China LLM of Commercial Law, University of Nottingham, UK Bachelor of Laws, Soochow University, Taiwan(ROC) **** Vice President & Deputy Division Chief, Compliance Division, First Commercial Bank Assistant Vice President & General Manager, AML/CFT Dep., Compliance Division, First Commercial Bank Assistant Vice President & General Manager, Compliance Dep., Compliance Division, First Commercial Bank AML/CFT Lecturer, TABF AML/CFT Lecturer, MJIB AML/CFT Lecturer, BA AML/CFT Lecturer, ACAMS

第 10 頁 ，共 18 頁

金佩華 (CAMS)

法遵處洗錢防制部經理副處長

第一商業銀行

吉林大學管理學博士

英國諾丁罕大學商事法碩士

東吳大學法學士

****

第一商業銀行法令遵循處

法令遵循處副處長

洗錢防制部經理

法令遵循部經理

台灣金融研訓院專題講師

法務部調查局專題講師

銀行公會防制洗錢及打擊資恐專題講師

國際公認反洗錢師協會防制洗錢及打擊資恐專題講師

--------------------------

Hue Dang, CAMS-Audit Head of Asia Pacific ACAMS Ms. Dang is the Head of Asia Pacific of ACAMS, having established its regional head office in Hong Kong in 2008. Ms. Dang has more than 25 years’ experience in banking and finance. Prior to ACAMS, she was a Bank Examiner at the Federal Reserve Bank of Boston, Manager with Barclays Capital’s Investment Banking Division in Singapore, Director for Business Development at Citibank’s Global Consumer Banking Group in Singapore and Director of Business Development, Asia/Pacific, for Thomson Financial in Hong Kong. Ms. Dang holds educational degrees from the US, with a Bachelor of Arts Degree with honors from Amherst College and a Master in Public Policy from Harvard University, John F. Kennedy School of Government. 鄧芳慧 (CAMS-Audit)

亞太區執行長

公認反洗錢師協會 (ACAMS)

鄧芳慧女士供職於公認反洗錢師協會 (ACAMS)，於 2008 年設立協會亞太區總部 (位於香港)並擔任亞太

區執行長。鄧芳慧女士在金融業有超過25年的經驗，曾擔波士頓美國聯邦銀行(Federal Reserve Bank) 審

查官、新加坡巴克萊資本投資銀行(Barclays Capital's Investment Banking) 經理、新加坡花旗全球消費者

銀行(Citibank's Global Consumer Banking Group) 業務發展總裁和香港湯姆森金融公司(Thomson Financial)

亞太區業務發展總裁。鄧女士在美國安默斯特學院 (Amherst College) 獲榮譽文學士學位畢業，亦為美國

哈佛大學約翰.肯尼迪政府學院的公共政策碩士。

第 11 頁 ，共 18 頁

Dr. William Scott Grob, CAMS-FCI AML Director – APAC ACAMS Dr. Grob has over 25 years of financial and banking expertise. His most recent role was as Regional Head of Affiliates Management, HSBC, where he worked on mitigating financial crime and correspondent banking risks across Asia. His 12-year career at the bank also included managing risk within the Equity/FX prime brokerage business, Structured Funds business, and Hedge Fund units. Dr. Grob earned a Bachelor’s degree from Boston University, a Master of Arts from George Mason University, a certificate from Harvard Business School’s General Management Program, and a Doctorate of Management from SMC University (USA), where his dissertation was focused on correspondent banking- “IMPACT OF CORRESPONDENT BANK ENHANCED DUE DILIGENCE PRACTICES.” Also, he has designations from the Chartered Alternative Investment Analyst (CAIA) Association, and Global Association of Risk Professionals (FRM). 高威廉博士 (CAMS-FCI)

亞太區反洗錢合規策略總監

公認反洗錢師協會 (ACAMS)

Grob博士在金融和銀行業擁有逾25年的專業經驗。他此前是匯豐銀行分支機構管理業務的區域主管，致

力於防范亞洲各地的金融犯罪和代理銀行服務風險。在匯豐銀行供職的12年中，他還負責管理過在股票

/外匯大宗經紀業務，結構型基金業務和對沖基金單位方面的風險。

Grob博士先後獲得波士頓大學的學士學位，喬治梅森大學的文科碩士學位，哈佛商學院的綜合管理項目

證書，以及聖莫妮卡學院（SMC，美國）的管理學博士學位，其博士論文專注於研究 代理銀行 – “代

理銀行增強盡職調查的影響”（對應銀行增強盡職調查的影響）。此外，他還通過了特許另類投資分析

師（CAIA）協會，以及全球風險管理專業人士協會的金融風險 管理師（FRM）認證。

--------------------------

Joyce Hsu, CAMS-FCI AML Director – North Asia ACAMS Ms. Hsu has over 27 years’ experience in the banking industry and joined ACAMS as a subject-matter expert since 2016, with the primary responsibility of developing and executing a strategy in AML/CFT training and knowledge-sharing with a focus in the Mandarin Chinese language. Her 20 years within group, she has worked

第 12 頁 ，共 18 頁

and charge not only front line but also operation and risk department. Previously, she was in charge of security and investigation service for Citi Taiwan. Her previous experience includes 5 years being responsible for providing Financial Crime and Operational Risk Management solutions for a leading Consulting firm with a particular expertise in AML and Operational Risk Management. Her expertise is focused on financial crime management and investigation. Various roles included progressing from being a front line operator, sales to senior manager of a headquartered-operation center with further progression into a risk manager role. Some accomplishments included: building up Anti-Money Laundering, Anti-Fraud Management for tier one banks in China; designing and implementing ORM tools and systems for an entire bank; and leading a team to develop the banking operation management capability for one of the largest banks in China. 許朧方 (CAMS-FCI)

北亞區反洗錢合規策略總監

公認反洗錢師協會 (ACAMS)

許朧方女士擁有逾27年銀行從業經驗。她於2016年加入公認反洗錢師協會(ACAMS)，為協會的反洗錢合

規策略總監，主要負責反洗錢和反恐融資活動相關議題的培訓及知識共享策略的製定和執行，尤其是對

以華語為主要語言的大中華區。她在集團工作的2 0年中, 不僅曾在第一線工作, 還曾經負責集中運營和

風險部門。此前，她曾任職於花旗銀行（台灣），主管安全和調查服務部門。許女士在防范金融犯罪和

風險管理領域擁有尤為豐富的從業經驗，曾連續5年負責為一家全球領先的顧問公司提供金融犯罪和風

險管理解決方案。她擅長金融犯罪管理和調查。許女士在銀行任職期間曾擔任多種職位，從基層客服、

銷售，到總部運營中心和風險管理。她的成就包括：輔導中國多家第一級銀行建立反洗錢和反欺詐管理

機制、為中國四大行之一設計反洗錢及合規體系，為四大行之一設計規劃全面風險管理體系，以及帶領

團隊為一家中國超大型銀行打造銀行集中運營管理機制及流程。

--------------------------

HUNG Chen-Che

Chief, Banking Bureau

Financial Supervisory Commission

Experience

-Section Chief of Banking Bureau, FSC

-Respondent and representative of FSC for APG 3rd round Mutual Evaluation

-Lecturer of Taiwan Academy of Banking and Finance, Bankers Association, etc.

-In charge of FSC’s 2015 financial sector risk assessment and participating in Taiwan’s 2018 national risk

assessment

-Participating in the development of FSC’s Strategy Map for AML/CFT

第 13 頁 ，共 18 頁

洪振哲

銀行局科長

金融監督管理委員會

經歷

-金管會 APG 第三輪評鑑代表及主答人

-金融研訓院、銀行公會等機構之講師

-負責金管會 2015 年產業風險評估及參與 2018 年我國國家風險評估

-參與金管會防制洗錢及打擊資恐策略藍圖之研擬

--------------------------

Brian Huang Chief Compliance & AML officer Cathay United Bank Brian Huang is the Chief Compliance & AML officer of Cathay United Bank. He has over 20 years banking experiences, of which more than 12 years are related to AML/CFT including correspondent banking, CDD/EDD, Sanction screening, transaction monitoring, SAR investigation and reporting. Prior to joining Cathay United Bank, he held positions with China Development Financial, Bank of America, Citibank, HSBC and others. Mr. Huang earned Bachelor’s degree in Information Management from National Central University, and holds LLM and MBA degree, both from National Cheng Chi University, Taiwan. 黃允暐

總機構法遵主管暨洗錢防制專責主管

國泰世華銀行

黃允暐目前任職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。在他超過20年的銀行

工作經驗中，在AML/CFT領域有12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。在國泰世華服務前，他曾任職於中華開發金控，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，並自國立政治大學獲得法學碩士與商學碩士。

--------------------------

第 14 頁 ，共 18 頁

Joseph Kao Chief Compliance Officer Shin Kong Life Insurance Co., Ltd. Current Position: Chief Compliance Officer & AML officer (Vice President), Shin Kong Financial Holdings and Shin Kong Life Educational Background: Ph.D. Candidate in Law, National Taiwan University; Executive MBA & LLM & LLB, National Taiwan University Award: National Manager Excellence Award of Taiwan, 2016 (General Counsel) Others:

Chairman, In-house Lawyers Committee, Taipei Bar Association(since2011)

Director of Board, Taipei Bar Association (2011-2017)

Practicing Lawyer, Taipei & Taoyuan

Lecturer in Business Law, TKU LICENSE & QUALIFICATION:

Taipei Bar Member (since 1996)

AML/CFT Specialist, Taiwan Academy of Banking and finance (2018) 高全國

法遵長

新光人壽保險股份有限公司

現職：新光金控及新光人壽 法遵長(副總經理)

學歷：台灣大學法研所博士班、台灣大學法律碩士 、台灣大學財金碩士

榮譽：2016 年國家傑出經理人得主(法務類)

經歷：

台北律師公會 企業律師法務委員會 主任委員(現任)

台北律師公會 理事、監事

全球人壽 法務長暨副總經理

日盛金控暨銀行 總機構法令遵循主管

日盛證券 法務部協理

淡江大學兼任講師(主授：公司法、票據法)

台北及桃園執業律師

第 15 頁 ，共 18 頁

Sandeep Kothari, CAMS-Audit FCC Product Management Standard Chartered Bank Sandeep Kothari is an experienced finance industry professional currently working in Financial Crime Compliance at Standard Chartered Bank. He has worked with European and Australian financial organizations in Singapore and Europe leading their change transformation, risk and vendor management. Mr. Kothari has led global software and vendor management portfolios shaping enterprise demand, go-to market approach, and industry-beating outperformance. He also led initiatives driving regulatory compliance, technology optimization, project office, governance and operational risk. Mr. Kothari has led teams for infrastructure control, regulatory risk assessment, and audit compliance across Asia Pacific. In his voluntary capacity, is Past President of Information Systems Audit Control Association (ISACA) Singapore and co-authored COBIT 4.0 --------------------------

Rohit Sharma, CAMS President & Managing Director ACAMS Rohit Sharma, CAMS, is the President & Managing Director of the Association of Certified Anti-Money Laundering Specialists (ACAMS). Rohit joined ACAMS in January 2019 with significant global experience in delivering financial and social impact across many sectors including for-profit education, travel, aviation, and consulting. Prior to ACAMS, Rohit spent close to a decade with Laureate Education Inc., a leader in higher education. In his most recent role there, Rohit led a global digital transformation initiative aimed at improving student experience starting with Laureate’s key Latin American markets of Brazil & Peru. Prior to that he spent several years in South-East Asia where he led the transformation of Laureate’s Malaysia business first as CFO, COO and eventually as CEO. That transformation led to significant value creation during his tenure in addition to delivering the highest student outcomes and employee engagement results registered. Rohit’s career prior to Laureate was spent across US, India and Singapore mainly in the travel industry where he was part of finance and strategy teams of Private Equity-backed enterprises. Early in his career, Rohit also

第 16 頁 ，共 18 頁

worked as a management consultant with the Boston Consulting Group (BCG) where he advised Fortune 100 clients on strategic and operational improvement issues. Rohit has a B.Tech from IIT Kanpur in India and an MBA from the Darden Business School at the University of Virginia, USA. --------------------------

SHANG Yu Ying, CAMS Vice President CTBC Bank Experience -Vice President of Compliance Division, CTBC BANK -Main respondent and representative of CTBC BANK and The Bankers Association of the ROC for APG 3rd Mutual Evaluations -Main respondent and representative of CTBC BANK for APG 2nd Mutual Evaluations -API Technology Implementation「Customer Identification Program Core(CIPC)」

-Coordinate and Implement CTBC AML/CFT function, including policy-making and build-up the system -Lecturer of AMLD、The Bankers Association of the ROC、ACAMS, etc

尚玉瑛 (CAMS)

法令遵循處協理

中國信託商業銀行

經歷

-中國信託商業銀行及銀行公會 APG 第三輪評鑑代表及主答人

-中國信託商業銀行 APG 第二輪評鑑代表及主答人

-應用智能及 API 技術建置「AML/CFT 客戶辨識核心平台」

-統籌中國信託商業銀行防制洗錢及打擊資恐法令遵循事宜、全球防制洗錢及打擊資恐政策及建置全銀

行防制洗錢及打擊資恐系統

-調查局洗錢防制處、銀行公會、ACAMS 講師等

--------------------------

第 17 頁 ，共 18 頁

Dr. WU Chung-Shu, CAMS-Audit Chairman Taiwan Academy of Banking and Finance Education: • Ph.D. in Economics, Northwestern University • B.A.in Economics, National Taiwan University Major Past Career: • President, Chung-Hua Institution for Economic Research • Adjunct Research Fellow, Institute of Economics, Academia Sinica • Adjunct Professor, Department of Economics, National Taiwan University • Honorary Professor, Department of Finance, National Dong Hwa University 吳中書 (CAMS-Audit)

董事長

台灣金融研訓院

學歷：

‧ 國立臺灣大學經濟學 學士

‧ 美國西北大學經濟學 博士

主要經歷：

‧ 中華經濟研究院 院長

‧ 中央研究院經濟研究所 兼任研究員

‧ 國立台灣大學經濟系 兼任教授

--------------------------

YU Man Him, CAMS 余文謙 (CAMS)

Partner, Forensic & Integrity Services, Greater China 合伙人 法政調查服務

Ernst & Young Advisory Services Limited 安永（中國）企業咨詢公司

Mr. Yu is a Partner with the Forensic & Integrity Services at Ernst & Young Greater China with over 19 years’ experience in Financial Crime Compliance, Forensic Investigations, Anti Bribery and Corruption, and Compliance Risks management.

第 18 頁 ，共 18 頁

Mr. Yu has worked in many financial crime compliance projects and forensic investigations assignments in the Financial Services industry; with sound experience in retail & commercial banking, investment banking business, insurance and asset management companies across Asia Pacific. He has also worked in various global FCPA investigations, conducted multiple Anti-fraud and ABAC risk assessments for MNCs, and presenting findings and recommendations to Senior Management, Senior Executives and Boards. Mr. Yu speaks in many industry conferences including ACFE, ACCA, ISACA, AmCham and SwissCham on topical AML sessions; he also provides tailored in-house training to Boards and Senior Management of global financial institutions. Mr. Yu is a former Law Enforcement Officer with the Independent Commission Against Corruption Hong Kong. He has assisted public prosecutions and gave evidence in court.