Presentations - March 4, 2009

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Presentations

Session Title

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Daniel Stipano
Deputy Chief Counsel
Office of the Comptroller of the Currency
U.S. Department of the Treasury

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Implementing Enterprise-Wide Anti-Money Laundering Program - 1 CLE Credit
Panelists will discuss how they have applied an AML program across an enterprise, how they view the risk-based approach, and the biggest challenges in AML compliance.

 

Moderator:
C. Rachel Romijn
Senior Vice President, Compliance Director
Wachovia

 

Panelists:

John G. Panagopoulos
Director
Head of Investigations and Surveillance
Global Financial Crime
Barclays Capital

 

Arlene Semaya
Senior Vice President, Compliance Managing Director
JP Morgan Chase

 


Suzanne L. Williams
Manager, BSA/AML Risk

Bank Supervision and Regulation
Board of Governors of the Federal Reserve System

 

Alan Williamson
Managing Director, Forensic Science
KPMG LLP

 

Keynote Speaker

Lester M. Joseph
Principal Deputy Chief, Asset Forfeiture and Money Laundering Section
U.S. Department of Justice

 


Afternoon General Session

Cyber Fraud, Account Intrusion and Pump and Dump Schemes - 1 CLE Credit

This panel will discuss the convergence of AML and Anti-Fraud efforts. Focus will be on cyber fraud, identity theft, account takeovers and Pump and Dump schemes. Panelists will discuss industry alliances, collaborations, case studies and enforcement efforts.

 

Moderator:


Jeff Horowitz
Managing Director, Chief AML, OFAC Officer
Pershing, LLC

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Panelists:

Dan Larkin
Unit Chief
Cyber Fusion Unit
National Cyber Forensics and Training Alliance

 

John Reed Stark
Chief, SEC Office of Internet Enforcement and

Counselor to the Director
U.S. Securities and Exchange Commission

 

Dane VandenBerg

Program Director, Cyber Operations Division

National Cyber-Forensics and Training Alliance

 

Jeffrey D. Weiss
Managing Director, Anti-Money Laundering
Knight Equity Markets, L.P.

 

Law Enforcement and Suspicious Activity Reporting - 1 CLE Credit

This panel will discuss case studies, how suspicious activity reports are used by law enforcement, the latest trends in money laundering and suggestions on how to conduct an investigation of suspicious activity. Focus will also be on issues related to filing, documenting and sharing SARs.

 

Moderator:

Tim O'Neal Lorah

Executive Director and Global Money Laundering Prevention Officer

Morgan Stanley

 

Panelists:


Marcy M. Forman
Director, ICE Office of Investigations
Department of Homeland Security

 

Mark E. Matthews
Partner
Morgan, Lewis & Bockius LLP

 

Stephen J. Shine
Chief Regulatory Counsel
Prudential Financial

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Laura Williams
Supervisory Special Agent
Liaison to FinCEN
Federal Bureau of Investigation