[FSA/Attorney Speakers] Seminar on AML Measures and Effectiveness Verification for Financial Institutions

Seminar Overview Seminar Info Inc. (Headquarters: Chuo-ku, Tokyo; Representative: Wataru Konishi) will hold a seminar titled "A Conversation between FSA Inspectors and a Lawyer (a former FSA inspector): Points on AML/CFT Measures and Effectiveness Verification for Financial Institutions" on June 25, 2026, from 13:30 to 16:30.

In anti-money laundering and counter-terrorist financing (AML/CFT) measures, financial institutions are required to move from the phase of simply "structuring" their systems to verifying whether they are actually "functioning."

This seminar, building on recent guideline and FAQ revisions, will thoroughly explain the regulatory perspective for the upcoming 5th round of FATF mutual evaluations and the concrete steps for effectiveness verification that financial institutions face.

### Key Takeaways - Perspectives from the regulatory authorities regarding the 5th round of FATF mutual evaluations - Authorities' policies and expectations regarding effectiveness verification - Status and challenges of financial institutions' efforts in effectiveness verification - Overview of recent guideline and FAQ revisions - How to plan, implement, and improve effectiveness verification - Practical examples of effectiveness verification (including coordination between the second and third lines of defense) - Industry-specific status and perspectives on AML measures

### Seminar Program 1. **Part 1: The Current Situation of Regulatory Authorities Regarding the 5th Round of FATF Mutual Evaluations** (Lecturer: Ms. Serita) 2. **Part 2: How Should Effectiveness Verification Proceed in Financial Institutions?** (Lecturer: Ms. Akiyama) 3. **Part 3: Dialogue on 'Cases and Focus Points for Effectiveness Verification'**

*Advance questions will be accepted until Wednesday, June 17.

[Contact Information] Seminar Group, Seminar Info Inc. E-mail: [email protected]