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Managing Operational Risk Efficiently (8th May 2014)

Risk Management and AML seminar with the theme “Managing Operational Risk Efficiently” was organized in morning May 8th 2014, started at 8:00 AM and ended at 12:00 PM.

I. Participants

There were 92 participants from SBV, Ministry of Public Security, local and international experts, member finance institutions in the South and media companies, the press.

I.1. The organizers:

  • Vietnam Banks Association (VNBA): Mrs. Trần Thị Hồng Hạnh – Secretary General, Mrs. Lê Thị Kim Xuân – Head of ROVNBA in Ho Chi Minh City.
  • Komtek Corporation: Mr. Nguyễn Hoàng Ly- President; Mr. Nguyễn Tuấn Hoa Senior Consultant and 10 staffs.

  I.2. Guests:

- The State Bank of Viet Nam's Anti-Money Laundering Department;

- Ministry of Public Security;

- The State Bank of Vietnam (Leader’s Representative: Payment Department, Inspection and Supervision Agency; Department of IT; ROSBV in Ho Chi Minh City; Ho Chi Minh Branch of SBV, Ho Chi Minh Branch of IT);

- Bank Card Association;

- Investment and Trade Promotion Center of Ho Chi Minh City (ITPC);

- Insurance, Stock, Payment Companies.

- International guests:  
  •  Mr. Jeremy Chan Regional director of business development – Fircosoft Corp;
  •  Mr. Aub Chapman – CEO – Aub Chapman Consulting Services;
  •  Mr. Singh Sachin Bhanupratap – Risk Management & Compliance Representative, APAC – Dow Jones Corp;
  •  Mr. Yeo Choon Lin – Head of Asia Pacific – FircoSoft Corp;
  •  Mr. Ravi Raman – Solutions Director, senior expert of Basel II/III – iCreate Corp;
  •  Mr. Stanley EU – Regional Director – Parasoft Corp;
  •  Ms. Jan Ng – Sale Manager – Dow Jones Corp.
I.3 Banks: Representatives and leaders responsible for Risk Management and Compliance from 24 banks and finance institutions.

I.4. Other: Representatives from IT Units, Media Comps (VITV, FBNC...).

II. Seminar content.

II.1. Mrs. Le Thi Kim Xuan – Head of ROVNBA in Ho Chi Minh City had a welcome speech .

II.2. Mr. Nguyen Van Ngoc - Director of The State Bank of Viet Nam's Anti-Money Laundering Department

Informed some AML regulations from Vietnamese Law; AML international standards were shown completely and adequately in FATF’s 40+9 Recommendations. In addition, Mr. Ngọc also introduced AML processes. Furthermore, he strongly stated that Banks’ execution and compliance of AML Regulations effectively plays a vital role in banking internationally, which can be considered a visa for expending banking business to outside Vietnam, especially in Europe and the United States.

Reference: the Speech file. 

II.3. Mr. Jeremy ChanRegional director of business development – Fircosoft Corp.

Introduced generally about foundation and development process of Fircosoft as well as its remarkable achievements in worldwide market – a leading corporation in Risk Management and AML. Mr. Jeremy explained current AML’s necessity and situation in Vietnam; and demonstrated customers watch list screening technology, audit screening technology and false positive in parallel so as to optimize supervision abilities and minimize potential risks from money laundering transactions.

Reference: the speech file. 

II.4. Mr. Aub Chapman CEO – Aub Chapman Consulting Services

Provided important international standards and legal frameworks in AML’s execution and application duties. Aub Chapman also presented in detail about frameworks and compliance culture in AML’s regulations, instructed Banks about AML’s policies, procedures and processes. Specifically, Mr. Aub Chapman emphasized key points in AML supervision which include: operational board’s participation and commitment, importance of buy-in units, mutual knowledge and experience sharing, data control and keep it up-to-date in Banks’ operations.

Reference: the speech file. 

II.5. Mr. Singh Sachin Bhanupratap – Risk Management & Compliance Representative, APAC – Dow Jones Corp.

Introduced about Dow Jones’ reputable and successful customer watch list screening measurement which is widely applied by most of grand banks in developed countries. Dow Jones mentioned specifically emerging risks from current tax and money laundering criminals. Additionally, Dow Jones presented about obstacle and challenges in building a screening list efficiently and accurately, thereby highlighted the orientation as well as the strength from screening list provided by Dow Jones.

Reference: the speech file 

II.6. Mr. Yeo Choon Lin – Head of Asia Pacific – FircoSoft Corp.

Introduced and presented profoundly about FATCA which Banks will apply and execute. Fircosoft brought up a general overview from the concept of finance criminal, then linked to FATCA, and finally figured out a complete, adequate solution in order to approach, follow and execute FATCA effectively from Fircosoft’s designation.

Reference: the speech file

II.7. Mr. Ravi Raman – Solutions Director, senior expert of Basel II/III – iCreate Corp

Introducing and analyzing the impacts of enforcement of IPR, the critical promoting factors to ensure that IPR is not only anti-counterfeiting technology but also the awareness of people. It is necessary to educate manufacturers, suppliers, clients to understand the IPR and set clear goals for themselves and the economy such as always having clear vision about the products and the market.

Reference: the speech file

II.8. Mr. Stanley EU – Regional Director – Parasoft Corp.

Presented the topic of Risk Management with Source Code – detection, remediation, and impact minimization along with the concept of “Heartbleed”. Parasoft focused on explaining the IT weak point and gap in websites (internet and data based connection devices) which cause data leaked and endangered. Parasoft analyzed and presented Heartbleed’s operational structures and harms as well as effective solution to remedy this type of risk. Parasoft also explained in detail about open source risk management solutions developed independently by the firm.

Reference: the speech file

III. Seminar summary.

Mrs. Tran Thi Hong HanhSecretary General of Vietnam Banks Association (VNBA):

  • PhD. Trần Thị Hồng Hạnh along with speakers answered member finance institutions’ concerns in Risk Management. “MANAGING OPERATIONAL RISK EFFICIENTLY” Seminar was highly evaluated in its topical, attraction and the quality of discussion’s content as well. Representatives wished to keep participating in next similar realistic Seminars in other banking fields. This was a potential opportunity for finance institution to share information and experience, enhance knowledge, and support each other to promote banking system’s efficient and sustainable development.

IV. Attending situation

Total participants: 92

V. Pictures of the seminar

1234  Video seminar:


- Vietnam Banks Association (VNBA): Mrs. Trần Thị Hồng Hạnh – Secretary General, Mrs. Lê Thị Kim Xuân – Head of ROVNBA in Ho Chi Minh City.

- Komtek Corporation: Mr. Nguyễn Hoàng Ly- President; Mr. Nguyễn Tuấn Hoa Senior Consultant and 10 staffs.

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