As we develop the AML 2026 program, explore the program from 2025 (below) for an example of the speakers and topics.
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SIFMA AML is the only anti-money laundering and financial crimes conference specializing in the securities industry. Learn more.
Bernard Canepa, Managing Director & Associate General Counsel - Office of General Counsel, SIFMAÂ
Read remarks from Matthew R. Galeotti, Head of the Criminal Division.
Speaker:
Matthew R. Galeotti, Head of the Criminal Division, U.S. Department of Justice
Speaker:
Paul Roberts, Assistant Special Agent in Charge, New York Field Office, Federal Bureau of Investigation (FBI)
Moderator:
Nicole De Bello, Americas Head of Financial Crimes Legal, Morgan Stanley, and Co-chair of SIFMA’s Anti-Money Laundering and Financial Crimes Committee
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This panel moves to the main stage this year to highlight the proliferation and evolution of fraud schemes targeting investors. Hear from these experts as they delve into the new and evolving typologies and trends in relationship scams, low-priced securities, and more. You'll leave this session with insights to enhance your fraud monitoring, detection and prevention programs and stay ahead of the ever-evolving, sophisticated bad actors.
Moderator:
Logan Anderson, Director, Financial Crimes Risk Management, Charles Schwab
Panelists:
Christopher S. Delzotto, Section Chief, Federal Bureau of Investigation (FBI)
Dan McClain, VP, Fraud Detection and Coordinated Trading, FINRA
Debbie Noury, VP, Elder Financial Exploitation Investigations, Fidelity Investments
Michelle Rector, VP, Head of Fraud Risk Management, Raymond James Financial, Inc.
Bernard Canepa, Managing Director & Associate General Counsel - Office of General Counsel, SIFMAÂ
Bernard Canepa, Managing Director & Associate General Counsel - Office of General Counsel, SIFMAÂ
Speaker:
Dr. Michael Faulkender, Deputy Secretary, U.S. Department of the Treasury
Moderator:
Joseph L. Seidel, Chief Operating Officer, SIFMA
Great Scott! Understanding the history gives us a window into the past and reveals insights into our present and future. This esteemed panel of financial crime experts from the public and private sectors will reflect on and share lessons learned from their decades of experience. Join us as they take us on a journey back to the origins of the Bank Secrecy Act (BSA), shedding light on how we arrived at this point, and offer crucial perspectives on the anticipated transformations by the AML Act of 2020.
A panel of sanctions compliance experts will share their perspectives on the past three years of Russia sanctions, including the challenges they overcame and the ones that remain. They will also discuss the present implementation of the Outbound Investment rule as well as lessons learned from recent enforcement actions. Looking to the near future, they'll assess the geopolitical outlook for global sanctions. You will take away from this panel the knowledge to strengthen your program in the face of constant change.
Moderator:
Sarah Green, Principal, Global Head, Financial Crimes, Vanguard
Panelists:
Darshak Dholakia, Partner, McDermott Will & Emery
Max Lerner, Managing Director, Global Head, Sanctions, Anti-Boycott, & Anti-Bribery and Corruption Compliance, State Street
Claire McCleskey, Assistant Director of OFAC’s Compliance Division, U.S. Department of the Treasury
Julianne Susman, Executive Director and Counsel, Financial Crimes Legal, Morgan Stanley
A robust AML Model Validation Program enhances financial crime detection and prevention capabilities, reduces compliance risks, and improves operational efficiency. This panel will assess vendor claims, discuss developments in model validation (including validation of AI models), and share best practices that you can use to ensure your program is effective, reliable, and compliant.
Moderator:
Christopher Janes, SVP, Financial Crimes Analytics, Raymond James Financial
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Panelists:
Stephanie Brooker, Partner, Gibson Dunn
Charlie Engle, VP, Head of Model Validation and Quantitative Risk Analysis, Fidelity Investments
Elsie Pan, Partner, Financial Crimes Model Validation Leader, PwC
Gargi Sharma, Senior Director, FINRA
Sponsored by Finscan
In this session you will learn how to get your data ready for growth and compliance, data quality strategies that won’t disrupt your business, and frameworks for assessing and fixing your data.
Imagine an elite athlete training on a diet of Twinkies and McDonalds. Ridiculous, right? Yet that’s what many financial services organizations plan to do as they begin to lay out their strategy for AI. They’re forgetting the fuel that will drive the success of their big-bet innovation strategies.
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Ever since technology has been a core business strategy, financial services organizations have been collecting data. Loads of it. But numerous studies show that most executives agree on one thing: they don’t trust their data. Yet we’ve limped along relying on spreadsheets and half the story. And it has generally been enough—until now. AI in its infancy but it is expected to radically change the way humans do everything. And AI needs to be trained on data. Good, healthy data. If you can’t trust your data, can you trust it to feed your AI?
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Moderator:
Stephen D. Marshall, Director, Advisory Services, FinScan
Panelists:
David McLaughlin, Founder and CEO, QuantaVerse
Adrian Murray, Founder and CEO, Fisent Technologies
Breakout 2A: A Square Peg in a Round Hole? Implementing New AML Program Requirements for Investment Advisers
Even for investment advisers with voluntary programs, the new AML program rule is a big lift, and many of its requirements are not tailored appropriately to the advisory businesses. This panel of experts, with different perspectives and business models, will share how they are meeting the implementation challenges that lie ahead. This is a must-attend panel for any investment adviser or financial institution with affiliated advisers.
Moderator:
Rena Shadowitz, Managing Director; Global Financial Crimes Executive, Bank of America
Panelists:
Mike Dressen, Managing Director, Head of U.S. AML Advisory & Wealth Management, RBC
Kevin Ehrlich, Managing Director and Associate General Counsel, Asset Management Group, SIFMA
Satish M. Kini, Partner, Debevoise & PlimptonÂ
Jennifer Opheim, Senior Vice President, PIMCO
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As fraud and fraud-related Suspicious Activity Report (SAR) filings continue to rise, this panel will focus on practical insights and strategies for handling these critical SARs. Practitioners will share best practices for drafting SARs, while law enforcement and regulators will provide guidance on what they value most in filings. Additionally, we will explore the vital handoff between Fraud and AML teams to ensure seamless collaboration and compliance.
Moderator:
Melissa Babin, Head of Financial Crimes Investigations, Robinhood
Panelists:
Brooks Brown, Senior Director, FINRAÂ
Robert Day, Assistant U.S. Attorney, United States Attorney’s Office, Eastern District of Virginia
Samantha Ofori, Executive Director, Morgan Stanley
Brian Weber, Senior Manager, Financial Crimes Risk Management, Charles Schwab
Sponsored by Kharon
Join Kharon’s experts as they discuss proper due diligence surrounding outbound investment, sanctioned securities, and investment risk. Real-world case studies will highlight instances of exposure and foster discussion and Q&A concerning risk analysis and decision-making. Learn how your organization can develop credible, defensible, and scalable controls.
Speakers:
Howard Mendelsohn, President, Global Business Development and Engagement, Kharon
Olivia Valone, Strategic Growth Director, Kharon
Moderator:
Heather Jewell, Managing Director, Senior Counsel - Anti-Money Laundering and Sanctions, Brown Brothers Harriman
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Panelists:
Eric Hains, Senior Director of Surveillance, Robinhood
Sheri Levine-Shea, Counsel, Americas Financial Crime Legal, Barclays
Jamie Udinson, Senior Director, Cyber and Analytics Unit – Crypto Asset Investigations, FINRA
Stefanie Wayco, Partner, Duane Morris LLP
This panel will provide an in-depth discussion on why core aspects of AML/Financial Crimes Compliance Sanctions Governance programs continue to be found lacking in regulatory actions. These experts will share their perspectives on risk assessments, highlighting counter-terrorist financing programs and impactful regulatory actions and guidance.
Moderator:
Bob Molloy, Chief BSA/AML Officer, Raymond James Financial, Inc.
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Panelists:
Charlie George, Head of Financial Crimes, Chief AML Officer, Fidelity Investments
Tara Loftus, Global Head of Financial Crimes Compliance, Brown Brothers Harriman
April Sinicrope, AML Officer, U.S. Bancorp Investments
Paul Tyrrell, Partner, Securities Enforcement Regulatory, Sidley
Sponsored by OTC Markets
This session will focus on the changing landscape of the U.S. over the counter equity markets. We will discuss the impact of regulatory changes post 15c2-11 and what’s next in the evolution of OTC Markets. We will cover what AML and financial crime compliance teams need to understand when thinking about the new OTCID Market, the elimination of Pink Current and the interplay between OTC and exchange listed securities.
Speakers:
Gareth Colglazier, SVP, Director of Issuer Compliance, OTC Markets Group, Inc.
Matthew Fuchs, EVP of Market Data, OTC Markets Group, Inc.
Hear firsthand from regulators and policymakers about the latest developments in the AML and financial crimes space, as well as their regulatory and examination priorities for 2025. This panel will dive into the lessons learned from enforcement actions, explore emerging trends and typologies, and share expectations for the coming year. This session provides you with an opportunity to consider changes to your program in response to the evolving landscape and current regulatory expectations.
Moderator:
Margaret Edmunds, Director of AML & Financial Crimes Compliance, Baird, and Co-chair of SIFMA’s Anti-Money Laundering and Financial Crimes Committee
Panelists:
Jason Foye, Vice President, Illicit Finance and Fraud, FINRA
Kate Lesker, Senior Special Counsel, U.S. Securities Exchange Commission (SEC)
Hannah M. Thibideau, Special Counsel, Schulte Roth & Zabel
Bernard Canepa, Managing Director & Associate General Counsel - Office of General Counsel, SIFMA
Bernard Canepa, Managing Director & Associate General Counsel - Office of General Counsel, SIFMA
Speaker:
Antonia M. Apps, Deputy Director, Division of Enforcement, U.S. Securities Exchange Commission (SEC)
Moderator:
Saima S. Ahmed, Executive Vice President and General Counsel, SIFMA
Speaker:
Mark R. Warner, U.S. Senator from the Commonwealth of Virginia
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Moderator:
Kenneth E. Bentsen, Jr., President and CEO, SIFMA
As a new regulatory framework begins to emerge, this panel will explore the expanding landscape of digital asset products and the unique anti-money laundering challenges they present, including:
- Emerging fraud schemes, sanctions evasion risks, and risks inherent in the sector that bad actors exploit.
- Cutting-edge compliance technologies (such as blockchain analytics, AI-driven transaction monitoring, and enhanced identity verification tools) that can be used for these novel products.
- How the industry and regulators are working together to mitigate risks while fostering innovation in the digital asset space
Moderator:
Justin Mendelsohn, Head of AML and Sanctions, Fidelity Digital Asset Services, Fidelity Investments
Panelists:Â
Nomi Goheer, Assistant General Counsel, Financial Crimes, Robinhood
Gerard Monusky, Associate General Counsel - Financial Crimes Legal, Coinbase
Aseel M. Rabie, Counsel, Debevoise & Plimpton
Jamie Udinson, Senior Director, Cyber and Analytics Unit – Crypto Asset Investigations, FINRA
Capping off the conference, industry leaders look into the crystal ball to see what the future holds for AML and financial crime programs. They will weave insights from earlier conference days with their own, providing you with practical takeaways for a future under a new Administration's enforcement and regulatory priorities, promising but risky new products and technologies like digital assets and generative AI, and geopolitical differences. You'll leave this panel – and the conference - with a crystal-clear path forward to enhance your program's resiliency.
Moderator:
Michael (Mike) Raffa, Managing Director, Global Deputy Head of Financial Crime Compliance, Goldman Sachs
Panelist:
Sharon Cohen Levin, Partner, Sullivan & CromwellÂ
Scott Currin, Head of Financial Crime – UK, Europe and Asia Pacific, RBC
Kevin Lampeter, Managing Director, US Head of Financial Crime & BSA/AML Officer, HSBC USA
Elizabeth Rosenberg, Global Financial Crimes Executive, Bank of America
Bernard Canepa, Managing Director & Associate General Counsel - Office of General Counsel, SIFMA
