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