Conducting Due Diligence on VASPs

Event Details

We are so excited to have Nicky Gomez, Partner at XReg and Julia Chin Head of Compliance at Hugosave joining us as our guest speakers for another TCAE Knowledge Series session.

In this session, Nicky and Julia will discuss conducting due diligence on Virtual Asset Service Providers (VASPs) and the work of Global Digital Finance (GDF) and Global Blockchain Business Council (GBBC) in the crypto and digital asset industry.

Some of the learning points that will be covered in the learning session are:

FATF's updated guidance on the risk-based approach to VASPs
Challenges presented by decentralization
Understand the work of GDF on the Due Diligence Questionnaire for VASPs

See you on Saturday, September 24th!

Speakers

Nicky Gomez

Partner at XReg

Julia Chin

Head of Compliance at Hugosave

Souzan Esmaili

Founder of TCAE

Nicky’s background in financial services regulation, risk management and in the development and implementation of regulatory frameworks have shaped Nicky’s pragmatic and non-conforming approach to problem-solving. At XReg, he is responsible for business development and for advising and assisting clients in strategy and policy development as well as providing guidance and education on risk-based and outcomes-oriented regulation.

Nicky began his professional career in banking where he provided advice and solutions to businesses. After six years working for industry, in 2010, he joined the Gibraltar Financial Services Commission (GFSC) where he was primarily responsible for the authorisation and ongoing supervision of banks, investment firms, e-money institutions and bureaux.

In November 2014, Nicky was appointed Risk Manager and led the design and implementation of the GFSC’s enterprise risk-management framework.

Nicky was then appointed Head of Risk and Innovation in May 2017 to help the GFSC actively support the development of new markets and activities in Gibraltar. As Head of R&I, he led the GFSC’s efforts in advising and supporting HM Government of Gibraltar in developing its strategy, policy and legal framework that delivered the world’s first regulatory framework for firms that use DLT. Nicky was responsible for ensuring the GFSC’s operational readiness and headed the team responsible for safely authorising and supervising this new industry.

Julia Chin is the Head of Compliance at Hugosave, Singapore’s first Wealthcare® and savings app. A seasoned finance industry professional, Julia has over 25 years of experience in policy implementation with a focus on client due diligence and operational risk management. She is a subject matter expert on Correspondent Banking, Securities Services, and Fintech – in the areas of Financial Crime and Regulatory Compliance.

Since joining Hugosave in 2021, Julia oversees the organisation’s legal and ethical integrity by ensuring compliance with the regulations of the industry and internal policies through enhancing governance processes and building a compliance culture.

Having worked in consultancy, global banking, and regulatory entities such as Standard Chartered Bank, HSBC, Deutsche Bank, KLOFFE and KPMG, Julia has considerable experience in implementation and design standards of control frameworks in Asia and Middle East.

Julia is passionate about promoting financial inclusion and giving back to the community through mentoring. She is a registered volunteer with Bankers without Borders, an initiative by Grameen Foundation that aims to equip the less fortunate in developing nations with tools to alleviate problems of poverty.

Souzan has over 16 years of international experience in consultancy and training with a focus on Regulatory Compliance, Anti-Money Laundering, Anti-Bribery and Corruption, and RegTech. She worked for various financial institutions and consultancies in Dubai and Toronto.

In 2019, when Souzan moved to Canada, she created TCAE with a passion to help, educate and empower Compliance & AML professionals around the world. She gained her first Canadian job experience by working as a subject matter expert on the Anti Bribery & Corruption Program for Wells Fargo’s Canada and Latin America regions. In March 2020, Souzan launched The Knowledge Series where she brings international industry experts and thought leaders to share their knowledge and experience with the AML and Compliance professionals around the world. As TCAE was expanding, Souzan decided to leave Banking in 2021 and enter the entrepreneurship world.

Prior to moving to Canada in 2019, Souzan worked for various financial institutions and consultancies where she assisted her clients to understand their compliance needs, advised on meeting regulatory requirements, and managed a multitude of remediation projects. She has acted as an Authorized Individual in the capacity of Compliance Officer and MLRO for a number of firms regulated by the Dubai Financial Services Authority (DFSA).
Souzan holds an MBA from the American University of Sharjah (UAE), a Post Graduate Diploma in GRC from Manchester Business School (UK), a Certified Anti Money Launder Specialist (CAMS), a FinTech Program certificate from Oxford University, and a Chainalysis Cryptocurrency Fundamentals Certification (CCFC).

Sponsors and Partners

General Admission

This is a free ticket and it does not include "Certification of Completion" or session recording

Public PriceComplimentary

Full Admission

This ticket includes

- "Certificate of Completion" and 1 credit point from the Association of Certified Financial Crime Specialists - ACFCS once you pass the Knowledge Test.

- Access to the recording of the session

Public PriceCAD $20

TCAE Platinum & Executive Members Only Ticket

This ticket is exclusive to TCAE Platinum & Executive Members

This ticket includes:

- "Certificate of Completion" and 1 credit point from the Association of Certified Financial Crime Specialists - ACFCS once you pass the Knowledge Test.

- Access to the recording of the session

Member PriceComplimentary

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Conducting Due Diligence on VASPs

Event Details