Dan Banes Shares Dos & Don’ts of Managing a Regulatory Investigation / Monitor
As a result of enhanced regulatory scrutiny, more regulatory investigations have ultimately led to enforcement actions, prosecutions and/or a deferred prosecution agreement (DPA) – especially in the US context.
In this context, Exiger’s Daniel Banes will join a panel of financial crime compliance leaders from major financial institutions to share his expertise with members of the Association of Certified Anti-Money Laundering Specialists (ACAMS) Hong Kong Chapter at their training and networking event on September 10th. The discussion will cover why it is so important to manage the regulatory investigation process, or a monitor, and how to do this properly and effectively.
- Esther Tsang
Head of Asia Pacific Know-Your-Customer (KYC) Team, Financial Crime Compliance
- Daniel Banes
Managing Director, APAC Regional Leader
- Ajay Budhrani, CAMS
Director of Oversight, Financial Crime Compliance, Greater China & North Asia
Standard Chartered Bank
- Shabbir Syed, CAMS
Director, Financial Crimes Office, Asia
Find out more about the event on the ACAMS Hong Kong Chapter website.