Presentation - 6 November 2018

*** Please note changes to the normal venue and time ***

Mourant - Common Issues for MLROs - 6 November 2018

Rob Shepherd and Sally French from Mourant have kindly offered to deliver a breakfast presentation to GACO members on some common issues for MLROs. While this includes a brief re-cap of some basics, the aim is more to consider technical questions which may come up in connection to SAR reporting.

Topics covered will be:

 1.    When and how to raise  SAR:  

    a.    The test for suspicion and connected risks  

    b.    How to file a SAR  

    c.    What to include and what to exclude in your SAR

 2.    Implications of raising a SAR:  

    a.    Tipping off  

    b.    Client communications  

    c.    Communications within Group / Linked Organisations  

    d.    GFSC obligations  

    e.    Investigative powers triggered

 3.    Post SAR:  

    a.    The Consent regime  

    b.    Challenges

The presentation will be of particular interest to MLROs and NO.

Venue -  Upper Rotunda, Royal Chambers, St Julian's Avenue, St Peter Port, Guernsey, GY1 4HP

Registration - 08:00 Start time - 08:15 finishing no later than 09:30

A light breakfast will be provided

Book via the website Events page by close of business Thursday 1st November 2018

This event is free of charge

Due to the popularity of the topic, attendees are restricted to 2 per member firm

Robert Shepherd

Rob has been Mourant's Senior Partner since 2013.  He joined Mourant Ozannes in 1999 from Clifford Chance in London and was the Managing Partner of the Guernsey office from 2005 to 2013.

Rob has wide experience of corporate and fiduciary matters, including regulatory investigations and has been involved in some of Guernsey's leading cases concerning those areas.  I recent times he has also developed an expertise in white collar crime  

Sally French

Sally is a Senior Associate and Advocate in our Guernsey Litigation practice.

Sally's practice encompasses all areas of commercial and financial disputes, with an emphasis on acting for financial services businesses. She has a particular interest in cases involving fraud, regulatory and compliance issues.

In addition to having over 12 years in legal practice, Sally draws on industry experience gained from several secondments with substantial UK financial institutions.

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