1. Conference Chairperson:
Dana Flynn
Group Tax Director, Tax Counsel
UBS AG
Attending This Premier marcus evans
Conference Will Enable You to:
• Identify Developments with FATCA Registration,
the International Data Exchange Service (IDES),
and the International Compliance Management Model
(ICMM) via US Internal Revenue Service
• Comply with IRC 871 (m) Withholding Requirements
to Uphold FATCA Compliance via BNY Mellon
• React to the Inclusion of Gross Proceeds Being Subject
to Tax Withholding via Barclays Capital
• Examine the CRS's Impact on the U.S. and Early Adopter
Countries via UBS AG
• Evolve Know Your Customer (KYC) and Client Data
Remediation to Verify Quality and Standardization
of Existing Clients via Rabobank, N.A. & BNY Mellon
Who Should Attend:
marcus evans invites Heads, EVPs, SVPs, VPs, Directors,
Senior In-House Counsel, and Similar from financial
institutions with responsibilities or involvement
in the following:
• FACTA Compliance
• Tax (Operations)
• Regulatory Compliance
• Information Withholding and Reporting
• Legal
• Know Your Customer (KYC)
• Anti-Money Laundering (AML)
Méhul Thakkar
Vice President, Corporate Tax
BNY Mellon
Dana Flynn
Group Tax
Director, Tax Counsel
UBS AG
Enrique Rojas Solís, Ph.D
Advisor to the General Manager
and Executive Committee
Banco de Costa Rica
Nicole M. DeSantis
Senior Vice President /
Associate General Counsel
Rabobank, N.A.
Hadrian A. Tucker
Senior Compliance Officer
US Operations
State Bank of India
Vivian Herrera
Managing Director
BNY Mellon
George Lee
Senior Vice President
Intellect Design Arena Ltd
William Holmes
Director, International
Data Management
US Internal
Revenue Service
Rami Eldam
Program Manager
International Data
Program Management
US Internal Revenue Service
Simon Lee
Assistant Vice President, Tax
CIBC Mellon
Kevin V. Sullivan
Director – Head of U.S.
Information Withholding
& Reporting, FATCA,
and QI Advisory
BNP Paribas S.A.
Barry S Levine
Program Manager
International Data
Operations / Management
US Internal
Revenue Service
Hazel O'Neill
Operational Risk
and FATCA coordinator
UBS Fund Services
(Cayman) Ltd.
Gerard Rose
Managing Director
AIS Tax Product Manager
BNY Mellon
Michael McMaster
Senior Vice President
Tax Director
US Bancorp Fund Services, LLC
John McGrath
Program Manager
International Data Services
US Internal Revenue Service
Steve Byron, CAMS
Vice President,
BSA Compliance
Policy and Risk
Assessments Manager
Rabobank, N.A.
Dan Adamson
Founder & CEO
Outside Intelligence
Featuring case studies from leading FATCA & Tax Compliance Experts:
4th FATCA and Global Tax Compliance Forum
Harmonizing International Reporting Standards and Automating
Exchange of Information to Ensure Transparency and Exceed
Compliance Requirements
Booking Info:
Gurneet Sagger | T: 1 312 894 6397
E: gurneets@marcusevansch.com
November 5-6, 2015
Millennium Broadway Hotel | New York, NY
More Registration Details. Click Here!
Informing and Knowing Your Customer, Intermediary Definitions, and Foreign
Person Reporting Requirements
Synchronize FATCA, CRS, and International Reporting
Standards to Eliminate Redundancy in Light
of Foreign and Domestic Compliance Mandates
Media Partners:Silver Sponsor: EARN UP TO
16 HOURS OF
CLE CREDITS

2. Day One | Thursday, November 5, 2015
CONTINUING LEGAL EDUCATION
marcus evans has requested CLE accreditation from all appropriate states. marcus
evans certifies that this conference has been pre approved for CLE credits by the
Pennsylvania, California and West Virginia State continuing legal education authori-
ties and also approved for New Jersey and Colorado CLE credits via reciprocity.
ToqualifyforCLEcreditsyouarerequiredtosign-inwithyourstatebarnumberforevery
conferencedaythatyouareinattendance.CLEcreditsaresubjecttofinalapprovalfrom
the individual state boards and certificates will be issued 6-8 weeks after the confer-
ence is held.
Please be aware this course has not been approved for Continuing Legal Education
in the State of New York.
7:30 Registration and Morning Coffee
8:15 Chairperson’s Opening Address
Dana Flynn, Group Tax Director, Tax Counsel
UBS AG
OVERCOMING OBSTACLES ON THE PATH TO INTERNATIONAL
FATCA COMPLIANCE
8:30 Interactive Panel Discussion
Identifying Developments with FATCA Registration, the International Data Exchange
Service (IDES), and the International Compliance Management Model (ICMM)
• Spearheading an overview of FATCA implementation
• Communicating ample feedback for IDES results from the first filing season
• Communicating ample feedback for ICMM results from the first filing season
• Registration 2.0 update (November release)
William Holmes, Director, International Data Management
US Internal Revenue Service
Barry S Levine, Program Manager, International Data Operations / Management
US Internal Revenue Service
Rami Eldam, Program Manager, International Data Program Management
US Internal Revenue Service
John McGrath, Program Manager, International Data Services
US Internal Revenue Service
9:30
Applying and Incorporating the Qualified Intermediary Program Revisions
to Maintain FFI Status
• Clarifying the eligibility of non-financial foreign corporations and intermediaries
to enter QI agreements
• Reacting to updates in QI’s documentation requirements for Chapter 3 and 4 Purposes
• Modifying QI’s reporting on Form 1042-S
Kevin V. Sullivan, Director – Head of U.S. Information Withholding & Reporting, FATCA,
and QI Advisory
BNP Paribas S.A.
10:20 Networking Break
10:50
State of the Art in KYC & Enhanced Due Diligence
• Evolving KYC & EDD initiatives within banks to incorporate FATCA requirements
and the current state of the art
• Overcoming the new regulatory realities & major costs of compliance
in financial institutions through business and technological collaboration
• Creating efficient, cost-effective programs to automate and reuse technologies
across banking functions and across the customer lifecycle
George Lee, Senior Vice President
Intellect Design Arena Ltd
Dan Adamson, Founder & CEO
Outside Intelligence
11:40
Complying with IRC 871 (m) Withholding Requirements to Uphold
FATCA Compliance
• Defining the concept of “dividend equivalent payments”
• Discussing tax withholding requirements in context of 871(m) regulations,
as applicable to swaps, futures, forwards, options and other financial instruments
• Coordinating between FATCA and 871(m) withholding requirements
Méhul Thakkar, Vice President, Corporate Tax
BNY Mellon
12:30 Luncheon
ADHERING TO REGULATIONS TO EFFICIENTLY
MEET TAX COMPLIANCE STANDARDS
1:30
Implementing the Common Reporting Standard versus FATCA:
What is the impact to early adopter countries?
• Building upon existing FATCA due diligence frameworks for CRS purposes
• Operational challenges between FATCA and CRS
• Best practices for ensuring compliance
Dana Flynn, Group Tax Director, Tax Counsel
UBS AG
2:20
Spearheading Client On-boarding Processes In Light of Global Rules
& Regulations to Protect Customers and Lower Risks for Financial Institutions
• Preparing for upcoming regulatory risks and adapting current on-boarding
procedures to anticipate further international developments
• Capturing and managing clean, new information about clients
• Streamlining KYC/AML on-boarding processes to comply with the evolving
requirements of FATCA with respect to customer classification and documentation
• Identifying and knowing your clients tax residency, nationality tax identification
and immigration status
Enrique Rojas Solís, Ph.D, Advisor to the General Manager and Executive Committee
Banco de Costa Rica
3:10 Networking Break
3:40
Utilizing Country Specific FATCA Updates To Further Clarify Expectations
• Referencing guidance notes from foreign countries to expand upon
IGA understanding
• Leverage international IRS contacts to provide an up-to-date commentary
on any changes in regulations
• Instituting relevant IGAs to reduce compliance burdens
Simon Lee, Assistant Vice President, Tax
CIBC Mellon
4:30 Closing Remarks of Chairperson
4:40 End of Day One
PRODUCER INFO:
I would like to thank everyone who has assisted with the research and organization
of the event, particularly the speakers for their support and commitment.
Jessica Lubin, jessicalu@marcusevansch.com.
SPONSORSHIP INFO:
Does your company have solutions or technologies that the conference delegates
would benefit from knowing? If so, you can find out more about the exhibiting,
networking and branding opportunities available by contacting: Garret Neader,
Garretn@marcusevansch.com.
marcus evans is registered with the National Association
of State Boards of Accountancy (NASBA) as a sponsor of continuing
professional education on the National Registry of CPE Sponsors.
State boards of accountancy have final authority on the acceptance
of individual courses for CPE credit. Complaints regarding registered
sponsors may be submitted to the National Registry of CPE Sponsors
through its website: www.learningmarket.org
This course carries a program level of intermediate requiring a minimum pre-requisite
of one year as an active practicing licensee. There is no advanced-preparation necessary
for this Group Live activity. Should it be completed in its entirety, attendees will be
eligible for 20 CPE credits in the Taxes field of study.

3. 8:00 Registration and Morning Coffee
8:30 Chairperson’s Address
Dana Flynn, Group Tax Director, Tax Counsel
UBS AG
APTLY AVOIDING ERRORS TO ADVANCE BUSINESS INITIATIVES
8:40
Evaluating Common Areas of Non-Compliance to Isolate Causes
and Overcome Issues
• Avoiding common classification mistakes when categorizing FATCA relevant
to business / individuals
• Practicing more stringent customer due diligence (CDD) procedures to manage
compliance risk
• Monitoring emerging risks as FATCA compliance evolves to avoid future issues
Hadrian A. Tucker, Senior Compliance Officer, US Operations
State Bank of India
9:30 Interactive Panel Discussion
Leveraging Reporting Systems Under Intergovernmental Agreements to Adapt
to Emerging Requirements
• Following the periodic changes to IGA guidance notes to stay up to date
with the automatic exchange of information agreements and any other
requirements by Local Tax Authorities based on FATCA
• Maintaining FATCA compliance with respective businesses and clients
that are supported within each jurisdiction under an IGA
• Reacting to September 30th, 2015 deadline for model 1 IGAs based on 2014 income
• Anticipating pending requirements from Unsigned IGAs to manage reporting
systems in light of March 31st, 2016 deadline based on 2015 income.
Enrique Rojas Solís, Ph.D, Advisor to the General Manager and Executive Committee
Banco de Costa Rica
Vivian Herrera, Managing Director
BNY Mellon
Simon Lee, Assistant Vice President, Tax
CIBC Mellon
10:20 Networking Break
10:50 Interactive Panel Discussion
Evolving Know Your Customer (KYC) and Client Data Remediation
to Verify Quality and Standardization of Existing Clients
• Cleansing data and documentation required to comply fully with specific
regulatory obligations
• Identifying and collecting any missing or incomplete data and documentation
of client or counterparty profiles to avoid non-compliance
• Classifying clients, counterparties, and accounts to prove completion of screening
to auditors and regulators
• Discerning the similarities and differences between FATCA and BSA/AML laws
• Locating the ultimate beneficial owner in convoluted entity structures
Nicole M. DeSantis, Senior Vice President / Associate General Counsel
Rabobank, N.A.
Gerard Rose, Managing Director, AIS Tax Product Manager
BNY Mellon
Steve Byron, CAMS, Vice President, BSA Compliance Policy and Risk Assessments Manager
Rabobank, N.A.
PROACTIVELY ENGAGING FEDERAL STAKEHOLDERS
TO EASE COMPLIANCE BURDENS
11:40
Monitoring Changes To Varying Schemas and Validation Rules
by Tax Authorities to Manage Reporting Processes
• Adopting and maintaining different reporting schemas, along with their
validation rules, to manage jurisdictional updates
• Maintaining ongoing observation and data collection from relevant
resources to remain current with varying schemas
• Utilizing various tools and local knowledge to keep abreast
of intergovernmental requirements
Michael McMaster, Senior Vice President, Tax Director
US Bancorp Fund Services, LLC
12:30 Luncheon
Day Two | Friday November 6, 2015
Withdrasticchangesintaxcomplianceregulationsworldwide,it’sincreasingly
important for foreign financial institutions (FFIs) to report their U.S. based
accounts to the IRS as stated in the Foreign Accounts Tax Compliance
Act (FATCA), while taking further steps to meet the set of global standards
for the annual exchange of financial information known as the Common
Reporting Standard (CRS). Non-compliance by FFIs will, in some cases, result in
30% withholding taxes on their U.S. based income, or worse. With substantial
risk in place, it’s crucial that global transparency is prioritized and focused
on within FATCA and global tax compliance.
Leading global tax compliance experts will attend the marcus evans
4th FATCA and Global Tax Compliance Forum to exchange valuable insights
and strategies for implementing new systems to manage reporting demands,
create structured reporting frameworks, and anticipate the developments
of the Common Reporting Standard in the multinational tax compliance arena.
DISCLAIMER
Thisagendamaybesubjecttochangeforreasonsoutsideofourcontrol.MarcusEvans,Inc.
reservestherighttoreplace,substitute,orremoveanyspeakerintheeventofanemergency
or any unforeseen situation in which a confirmed speaker is unable to attend the event.
Marcus Evans, Inc. will make every effort possible to substitute a speaker in this
circumstance with an equally qualified professional for the confirmed presentation.
However, Marcus Evans, Inc. does not guarantee the possibility of replacement.
WHY YOU MUST ATTEND:
1:30
Anticipating Focus Points for FFI Responsible Officers to Continue
Driving Efforts for Further FATCA Compliance, Exclusively from
a Non-US Financial Institution Perspective
• Adapting FATCA Regional Compliance Programs within an Expanded
Affiliated Group having different FATCA scenarios: FFI Agreement, IGA
Model 1 (a)(b), IGA Model 2 and US Branches is challenging but possible
• Understanding concrete actions in FFIs for procuring good faith and best
effort principles during the transitional period-IRS Notice 2014-33
• Building a robust and precise FATCA Compliance Program for years
and changes to come
• Providing best practices, tips and tools for FATCA Due Diligence
and Reporting procedures
Enrique Rojas Solís, Ph.D, Advisor to the General Manager and Executive Committee
Banco de Costa Rica
2:20
Looking at Automatic Exchange of Tax Information from a Cayman Perspective –
US FATCA, UK FATCA and CRS
• Addressing legal impediments to produce solutions for Cayman Islands
FI's through an intergovernmental approach to FATCA implementation
• Adopting appropriate documentation regimes for UK FATCA and CRS
• Comparing FATCA and CRS in the Cayman context
Hazel O'Neill, Operational Risk and FATCA coordinator
UBS Fund Services (Cayman) Ltd.
3:10 Closing Remarks of Chairperson
3:20 End of Conference
LET US BRING THE TRAINING TO YOU!
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Exceptional Trainers: Annual global course portfolio over 3000 events a year guarantees
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Confidentiality: Your team may talk openly about their experiences and organizational
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Cost-effective: Maximize your budget by cutting out travel and lodging expenses while also
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For full information on open enrollment and in-house training please contact
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