| 7:30 a.m. - 8:15 a.m. | Registration and Continental Breakfast
Continental Breakfast
Hosted by Goodwin Procter LLP
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| 8:15 a.m. - 8:30 a.m. | Welcome/ Opening Remarks / Morning General Session
Ira D. Hammerman
Senior Managing Director and General Counsel
Securities Industry and Financial Markets Association
Morning General Session
Hosted by Daylight Forensic & Advisory LLC
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| 8:30 a.m. - 8:35 a.m. | Introduction of Keynote Speaker
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| | Jeff Horowitz
Managing Director, Chief AML, OFAC Officer
Pershing, LLC
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| 8:35 a.m. - 9:00 a.m. | Keynote Address
Michael P. Flowers
Counsel
Senate Permanent Subcommittee of Investigations
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| 9:00 a.m. - 10:30 a.m. | Compliance, Examination, and Enforcement Update - 1.5 CLE Credits This panel will discuss the latest on anti-money laundering examination procedures, findings and compliance trends. Focus will also be on recent AML rules, relevant guidance, and this past year’s significant enforcement actions. Discussion also on what firms can expect over the next year from FinCEN and the regulatory agencies. |
| | Moderator: Betty Santangelo Partner Schulte, Roth & Zabel LLP
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| | Panelists: |
| | Shaswat K. Das Detail – Office of International Banking and Securities Markets, Senior Sanctions Advisor (Securities) – Office of Foreign Assets Control U.S. Department of the Treasury |
| | Mary Ann Gadziala Associate Director, Office of Compliance Inspections and Examinations
U.S. Securities and Exchange Commission |
| | Michael Rufino Senior Vice President and Deputy - Member Regulation FINRA
|
| | Tom Ryder Assistant Director for Enforcement, Regulatory Policy and Programs Division Financial Crimes Enforcement Network |
| | Daniel Stipano Deputy Chief Counsel Office of the Comptroller of the Currency U.S. Department of the Treasury
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| | Suzanne L. Williams
Manager, BSA/AML Risk Bank Supervision and Regulation
Board of Governors of the Federal Reserve System
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| 10:30 a.m. - 11:00 a.m. | Morning Refreshment Break |
| 11:00 a.m. - Noon | 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.
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| | 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
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| | 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 |
| Noon - 1:30 p.m. | Keynote Speaker
Lester M. Joseph
Principal Deputy Chief, Asset Forfeiture and Money Laundering Section
U.S. Department of Justice
Luncheon/Luncheon Panel
Hosted by KPMG
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| 1:30 p.m. - 2:30 p.m |
Afternoon General Session
Hosted by Booz Allen Hamilton/IMAG
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
|
| | 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.
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| 2:30 p.m. - 3:30 p.m | Dealing with Hedge Funds, Clearing Firms & Other Intermediaries - 1 CLE Credit This panel will explore a securities' firm's obligations under its AML Program when dealing with intermediaries such as hedge funds, investment advisors and introducing brokers. Discussion will include when an intermediary may be considered a customer for purposes of USAPA analysis and the need to set guiding principals to aid the business in its compliance efforts. We will also raise awareness to issues faced by global firms as they operate in multiple regulatory regimes with disparate requirements. |
| | Moderator:
Meg Zucker Executive Director, Global Anti-Money Laundering Group Morgan Stanley
|
| | Panelists:
Stephen Ganis Of Counsel Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C
|
| | Jay Lippman
Executive Director, Compliance Director AML Officer
JPMorgan Chase |
| | Renata Santos Vice President Goldman Sachs & Co. |
| 3:30 p.m. - 4:00 p.m. | Afternoon Refreshment Break |
| 4:00 p.m.- 5:00 p.m. | 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.
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| | 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
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| | 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
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| 5:00 p.m. | Program Concludes |