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DTSTART;TZID=Australia/Sydney:20260730T090000
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SUMMARY:AML/CTF Risk Assessment Round Table: Initial\, Ongoing and Enhanced CDD and Reporting
DESCRIPTION:This facilitated round table will bring together banking and non-banking reporting entities to discuss the practical issues and solutions involved in conducting individual customer risk assessments across the customer lifecycle—from initial customer due diligence (CDD) ongoing CDD\, and when enhanced CDD is required (including how these assessments connect to SMR and TTR reporting decisions). \nFacilitated by GRC Solutions\, the session is designed as a peer discussion forum. Participants will be encouraged to compare approaches\, share what is working (and what is not)\, and explore how to evidence risk-based decisions in a way that aligns with AUSTRAC’s expectations around customer due diligence and reporting. \nThis session is suitable for AML/CTF reporting entities (including banking and non-banking organisations\, and designated service providers such as legal\, accounting\, conveyancing\, real estate and other designated services) who want to share practical experience and discuss how to approach individual customer risk assessments and due diligence in a defensible\, consistent way. \n \nWhat this round table will cover\nIn this 3-hour round table\, we will explore: \n\nIndividual customer risk assessment – in the real world: agreeing risk factors\, defining “reasonable steps”\, and documenting the rationale behind risk judgements (beyond a tick-box score).\nInitial CDD (onboarding): building a defensible customer profile\, collecting and verifying information\, and using risk assessment outputs to determine the level of due diligence required.\nOngoing CDD: practical monitoring approaches\, review triggers\, and keeping customer risk ratings current as behaviour\, products\, geographies\, or counterparties change.\nEnhanced CDD (ECDD): when escalation is appropriate\, what information to seek (including source of funds / source of wealth where relevant)\, and how to evidence the “why” behind ECDD decisions.\nConnecting CDD/ECDD to reporting: how teams operationalise decision-making for Suspicious Matter Reports (SMRs) and Threshold Transaction Reports (TTRs)\, including common pain points and control gaps.\nConsistency\, governance\, and quality assurance: calibration across teams\, record keeping\, audit trail expectations\, and how to prepare for regulatory engagement.\n\nKey Learning Outcomes\nBy the conclusion of this round table\, participants will be able to: \n\nCompare how peer organisations structure and document individual customer risk assessments across initial CDD\, ongoing CDD and ECDD.\nIdentify practical ways to evidence risk-based decisions (including escalation decisions) in line with AUSTRAC expectations.\nPressure-test triggers for ongoing review and ECDD\, and discuss how to improve consistency across teams.\nExplore how CDD outcomes connect to SMR and TTR reporting decisions\, and common controls used to support timeliness and quality.\nLeave with a set of example questions\, prompts\, and “better practice” ideas to take back to your organisation.\nCPD points applicable\n\nEvent Details\n\n\n\nDate:\nThursday\, 30 July 2026 \n\n\nVenue:\nGRC Solutions\, Level 14\, 201 Kent Street\, Sydney\n\n\nTime:\n9:00am – 1:00pm inclusive of a networking lunch\n\n\nInvestment:\n$525 or $495 for GRC Solutions Compliance Notes Subscribers (Fees are inclusive of GST).\n\n\nAll other States:\nPlease express your interest using the “Register Now” button for an AML/CTF Workshop to be held in your city.\n\n\n\nContact Us\nFor more information\, please liaise with your Senior Relationship Manager or contact us.
URL:https://grc-solutions.com/event/aml-ctf-individual-risk-assessment-round-table-sydney/
LOCATION:GRC Solutions\, Level 14\, 201 Kent Street\, Sydney\, GRC Solutions\, Level 14\, 201 Kent Street\, Sydney\, NSW\, 2000\, Australia
CATEGORIES:Workshops
ATTACH;FMTTYPE=image/jpeg:https://grc-solutions.com/wp-content/uploads/2026/05/AMLCTF-Individual-Risk-Assessment-Round-Table-SYDNEY-2.jpg
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