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ACAMS 13th Annual AML & Financial Crime Conference


MI5.2 - [Case Study] Securities Focus: Combating Emerging Fraud Trends in 2014


Sep 30, 2014 1:30pm ‐ Sep 30, 2014 2:45pm

Description

  • Identifying key financial crime challenges for global securities firms including investment banking and corporate finance abuse
  • Implementing risk-based monitoring for casas de cambio, omnibus accounts and microcaps
  • Keeping informed of changes in market practices that impact AML protocols
  • Incorporating themes from recent enforcement actions into your AML program

Speaker(s):

  • Jeff Horowitz, Managing Director, Global Head of Compliance, Pershing
  • Catherine LaFalce, Global Anti-Money Laundering Compliance Risk Management (ACRM) Head, Markets and Banking, Citigroup
  • Jeffrey A. Weiss, CAMS, Chief Anti-Money Laundering Officer, TD Ameritrade
  • Lynne Johnston, Managing Director, Regional Head of Compliance, Commerzbank AG

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