Program

Tuesday, 27 Feb 2018
2:00pm to 5:00pm
STI Auditorium, 168 Robinson Road. Capital Tower, 9th Floor Singapore 068912


1:45pm Registration
2:00pm How to set up an effective AML Compliance and Audit Function for small firms by Martin Lim
2:30pm Overview of EP 200 by Magdalene Ang
3:00pm Refreshment
3:30pm Key EP 200 review findings by ACRA by Magdalene Ang
4:00pm Preparing for EP 200 - Development and implementation of a firm-wide AML/CFT Policy by Magdalene Ang
4:30pm Q&A
5:00pm End

Seminar Venue

Nearest MRT Tanjong Pagar MRT (Exit F)

Program Detail

How to set up an effective AML Compliance and Audit Function for small firms?

EP 200 and ACRA's AML/CFT Guidelines for Registered Filing Agents require professional firms to set up separate compliance and internal audit functions.  This session will discuss how small firms can implement these two functions to ensure that the AML/CFT policies and procedures are carried out.  The roles and responsibilities of the Compliance Officer and Internal Auditor will also be discussed.


Overview of EP 200

This session will provide a macro view of EP 200, its development and the implications to the public accountants.  The key differences between the requirements of EP 200 and ACRA's AML/CFT Guidelines for Registered Filing Agents will also be compared.


Key EP 200 review findings by ACRA

ACRA/ ISCA has been conducting EP 200 implementation reviews among the public accountants.  This session will discuss some of the key observations and findings from the reviews conducted.


Preparing for EP 200 - Development and implementation of a firm-wide AML/CFT Policy

This session will provide a brief overview on the contents that must be included in the Internal Policies, Procedures and Controls (IPPC) Manual, and how to align the IPPC with the firm's practice so as to comply with the documentation requirements of EP 200.