On course for success

Basel II and Compliance in the Banking Industry


This programme will cover Basel II implementation and overview of
Internal Capital Adequacy and Assessment Process (ICAAP). Followed by,
an Overview of AMBD’s proposed Guidelines on ICAAP and Supervisory
Evaluation and Review Process and on the assessment of Brunei
Supervisory Risk Assessment (BSRA) Framework. The second day will be
on Compliance explaining its importance and recognizing its
international standards, identifying key considerations to develop
strategy to implement a sound compliance culture, corporate
governance and risk.


Learning Objectives

• Describe Basel II and its key components
• Recognize Internal Capital Adequacy and
Assessment Process (ICAAP)
• Identifying general considerations under
disclosure requirements (Pillar 3)
• Explain the Importance of Compliance
• Recognize International Standards for
• Identify Key Considerations to Develop
Strategy to Implement a Sound Compliance



Dr. Azrie Tamjis (Associate Risk Specialist ,Specialist Risk Unit, Bank Negara Malaysia)
Dr. Azrie is currently attached with the Specialist Risk Unit and has served Bank Negara Malaysia for almost 15 years in the banking supervision sector, including the review of implementation of Basel II for Malaysian banks. He obtained his PhD from Loughborough University and also a member Chartered Institute of Management Accountants (CIMA).

Carel L Oosthuizen (Banking Expert, Banking Unit, Autoriti Monetari Brunei Darussalam)
A senior financial and banking sector expert and former Deputy Head of South African banking regulatory and supervisory authority, with a track record of accomplishment in areas such as Public policy development on (conventional) banking and Islamic banking- including contributing to Basel III; Islamic banking; stress testing; bank contingency planning; bank crisis management; bank resolution; deposit insurance; corporate governance, financial risk management; risk-based supervision; accounting (IFRS); auditing (IAS), establishment and strengthening of legal, regulatory and supervisory frameworks for banks, including the ultimate responsibility for Basel II implementation in South Africa; Strengthening of Financial Sector safety net.

Kerville Ignatius V.Balandra (Head of Onsite Examination, Banking Unit, Autoriti Monetari Brunei Darussalam)
Aside from his role as Head of Onsite Examination, Kerville is also the project manager for the development of AMBD’s risk-based supervision framework, onsite methodology, and IFRS 9 Prudential Returns. He has also assisted AMBD in the development of guidelines for credit risk management, IFRS 9 ECL, Prudential Treatment of Problem Assets, and Fair Value Measurement. He joined BSP in 2003 and has extensive experience in the onsite review of different types of banks, including several of the largest banks in the Philippines. He was also involved in the development of BSP’s credit risk management guidelines and credit risk training course. Kerville started his career in Punongbayan & Araullo (affiliated with Ernst & Young at that time) as an external auditor from 1999 to 2003. He passed the Certified Information Systems Auditor exam in December 2006, Certified Treasury Professional (Philippines) exam in July 2006, and Certified Public Accountant (Philippines) exam in May 1999. He holds a bachelor’s degree in Accountancy from De La Salle University – Manila.

Ms. Suraya Sani (Senior Supervisor, Financial Conglomerates Supervision Department, Bank Negara Malaysia)
Suraya has more than 10 years of banking supervision experience in Bank Negara Malaysia. She is currently a Senior Supervisor in the Financial Conglomerates Supervision Department of Bank Negara Malaysia. She is responsible for the supervision of one of the largest banking group in Malaysia. Suraya is also involved in the development of Recovery Plan policy. Prior to joining Bank Negara Malaysia, Suraya worked in KPMG Malaysia doing market research. Suraya holds a Master of Business Administration majoring in Finance from International Islamic University Malaysia and Bachelor of Business Administration majoring in International Finance from MARA International University.

Nik Nuun Asma Bt Nik Sulaiman (Senior Consultant, Graduate Training & FSTEP, Asian Banking School)
Nik Nuun Asmahas 34 years of working experience, with 31 years spent at the largest bank in Malaysia. During her tenure at the bank as Head of Group AML/CFT, she was responsible for overseeing the project to implement their AML system. Earlier, while heading Business Process Reengineering, she also managed the implementation of their Fraud System. Nik Nuun was also instrumental in the setting up of the Compliance department in the two organisations that she had served in and during her 3-year tenure with a Money Services Business company, she also contributed in the formation of the Group of Compliance Officers, which is within the ambit of the Malaysian Association of Money Services Business. Her contributions were based on her experience as a committee member of the Compliance Networking Group while working in the banking industry. As a CONG committee member, she has been invited to lead panel discussions at the International Conference on Financial Crime and Terrorism Financing. She has shared her experiences at forums through invitations from institutions that included the Ministry of Finance, Brunei, Central Bank of Vietnam and BII Bank, Indonesia.



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