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, Control Leader FIG and international, Wells Fargo

Speaker(s):

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