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ACAMS 19th Annual International AML & Financial Crime Conference

SEC1.2 - (Case Study) Enforcement Update: Exploring Lessons Learned from Recent Securities Enforcement Actions

Mar 18, 2014 2:55pm ‐ Mar 18, 2014 4:10pm



  • Probing the implications of the marked increase in the number and proportion of actions against registered investment advisers and broker-dealers in 2013
  • Identifying common themes to help prevent similar missteps and identify gaps before your next examination
  • Adopting compliance strategies that may help you to avoid regulatory fines and reputational damage
  • Reviewing the SEC’s strategy to file civil cases in which defendants are accused of negligence only, rather than harder-to-prove charges of intentional wrongdoing or recklessness


  • Sterling Daines, Vice President, Goldman Sachs & Co.
  • John Davidson, Senior Vice President and Global Head of AML, E-Trade Financial
  • Eric Kringel, Bank Secretary Act Specialist, Office of Market Intelligence, Division of Enforcement, US Securities and Exchange Commission (SEC)

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