Description

Assessing penalties tied to microcap shares to determine best practicesfor enhancing AML models

Examining private placement fines to identify red flags that may indicatekickbacks and other crimes

Applying guidance from FINRA’s firm culture reviews to integrate theagency’s priorities into oversight models

Moderator(s):

• Michelle J. Neufeld, AML Expert, Executive Vice President, Head of Compliance and Operational Risk FIG, Wells Fargo

Speaker(s):

• Sharon Cohen Levin, Partner, WilmerHale
• Jeff Horowitz, Managing Director, Global Head of Compliance, Pershing
• Bob Molloy, CAMS, Chief BSA/AML Officer , Raymond James Financial