“The seriousness of the
BSA/AML compliance is
well explained, serviced,
refreshed.”
Suresh Kumar Devalam
Vice President
(Per Banking)
State Bank of India
| A |
Adopting the Latest Best Practices to Protect Your
Organization from Fraud
Speakers:
Douglas A. Leff, Chief, Asset Forfeiture and Money Laundering Unit, FBI Headquarters
Duncan Levin, Assistant United States Attorney, Asset Forfeiture Unit, Eastern District of New York
Dennis Lormel, Managing Director and Associate General Counsel, IPSA |
C |
What Your Institution Must Know About OFAC Sanctions
Management
Speakers:
Elaine Banar, Vice President, Global Sanctions, American Express
John Sabatini, Principal, Financial Services, Ernst & Young LLP
|
| B |
Understanding Changes in the MSB Regulatory Landscape to
Ensure Compliance
Speakers:
Edward Rodriguez, CAMS, CFS, EA, Manager, Forensic Accounting and Dispute, Support Group (FADS), Watkins Meegan LLC
Carol R. Van Cleef, Partner, Patton Boggs
|
D |
Mastering AML Audits to Meet the Needs of Your Institution
and Satisfy Regulators
Speakers:
Alberto Avila, CAMS, Director, COMLAFT
Lynne Federman, Director, Fedkor Inc.
Kimberly G. Hebb, NBE, CAMS, BSA/Compliance Specialist, Compliance Policy , Office of the Comptroller of the Currency
Jeffrey Sklar, Managing Director, SHC Consulting Group, LLC |
|
Separate registration required - Add on to your training by attending our hands-on pre-conference workshops.
- WORKSHOP A - Adopting the Latest Best Practices to Protect Your
Organization from Fraud
The onslaught of fraud cases that hit headlines in 2009 highlighted
the vulnerability of the financial system and turned compliance
professionals’ attention to preventing criminal schemes. The lines
between AML and anti-fraud departments at some banks are
blurring, with AML professionals increasingly being called on to use
their skills and systems to help uncover fraud. And tight budgets at
smaller banks often result in compliance officers wearing an AML
and anti-fraud cap even if they have little or no anti-fraud training.
In this workshop, let expert presenters walk you through what AML
officers must know about fraud and how to detect it.
Who Should Attend:
Job Function:
- AML Compliance Officers
- Heads of Compliance/Chief Compliance Officers
- Regulators
- Law Enforcement/Intelligence Agents
- Financial Intelligence Unit Personnel
- Investment Advisors
- Auditors
- Lawyers/Accountants
- Consultants
|
Institution:
- U.S. and International Banks
- Broker-dealers and Securities Firms
- Insurance Companies
- Money Services Businesses
- Credit, Debit & Pre-paid Card Companies
- Government
- Regulatory Agencies
- Law Enforcement
|
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- WORKSHOP B -
Understanding Changes in the MSB Regulatory Landscape to Ensure Compliance
Keeping your finger on the pulse of regulatory changes is an important element
of maintaining a sound AML compliance program. In 2009, U.S. lawmakers,
the Financial Crimes Enforcement Network (FinCEN) and the money service
business (MSB) industry have each called for various changes to MSB regulation.
FinCEN has proposed changes to the definition of an MSB, sought to standardize
regulations in conjunction with states and the Internal Revenue Service — even
as U.S. lawmakers have introduced bills that would allow MSBs to self-certify
their AML programs. Banks and MSBs must remain aware of actual and proposed
regulatory changes. Join this workshop to get up to speed on the latest
regulatory trends and understand how they impact your compliance obligations.
Who Should Attend:
Job Function:
- AML Compliance Officers
- Heads of Compliance/Chief Compliance Officers
- Chief Operating Officers
- Branch Managers
- Regulators
- Auditors
- Lawyers/Accountants
- Consultants
|
Institution:
- Money Services Businesses
- U.S. and International Banks
- Government
- Regulatory Agencies
- Law Enforcement
|
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Separate registration required - Add on to your training by attending our hands-on post-conference workshops.
- WORKSHOP C - What Your Institution Must Know About OFAC Sanctions
Management
The Office of Foreign Assets Control (OFAC) enforces economic
and trade sanctions based on U.S. foreign policy and national
security goals against targeted foreign regimes. It impacts not only
U.S. based companies, but every organization in every country that
conducts business directly or indirectly with the U.S. How can you
ensure your organization is in compliance with OFAC sanctions and
avoid penalties? And how can your financial institution be sure that
it doesn’t serve OFAC blacklisted entities? Join this interactive workshop
and learn how to navigate OFAC regulations, how to handle
conflicts between the extraterritorial reach of OFAC regulations and
local laws and how to steer clear of penalties.
Who Should Attend:
Job Function:
- AML Compliance Officers
- Heads of Compliance/Chief Compliance Officers
- Regulators
- Law Enforcement/Intelligence Agents
- Financial Intelligence Unit Personnel
- Investment Advisors
- Auditors
- Lawyers/Accountants
- Consultants
|
Institution:
- U.S. and International Banks
- Broker-dealers and Securities Firms
- Insurance Companies
- Money Services Businesses
- Credit, Debit & Pre-paid Card Companies
- Government
- Regulatory Agencies
- Law Enforcement
|
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- WORKSHOP D - Mastering AML Audits to Meet the Needs of Your Institution
and Satisfy Regulators
The AML audit process can shed much light on the money laundering
preparedness of your institution and how well it is fulfilling
regulatory and internal requirements. For your audit program to be
successful, your institution must meet its risk management needs as
well as your examiners’ concerns. Do you fully understand the key
elements necessary to achieve this? How can your institution meet
the mandate for an independent internal audit in a cost-effective
way? What must you consider before setting or resetting the scope
of your audit program? What have other organizations done to test
their programs’ effectiveness? This workshop provides an overview
of the key elements of a successful audit and teaches you how to
apply them to the needs of your institution. Expert presenters will
dissect AML audit best practices that can be applied to measure the
effectiveness of your own audit program.
Who Should Attend:
Job Function:
- AML Compliance Officers
- Heads of Compliance/Chief Compliance Officers
- Regulators
- Auditors
- Lawyers/Accountants
- Consultants
|
Institution:
- U.S. and International Banks
- Broker-dealers and Securities Firms
- Insurance Companies
- Money Services Businesses
- Credit, Debit & Pre-paid Card Companies
- Government
- Regulatory Agencies
- Law Enforcement
|
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