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ACAMS 13th Annual AML & Financial Crime Conference

MI6.2 - Securities Focus: Managing a Robust Broker-Dealer AML Program

Sep 30, 2014 3:15pm ‐ Sep 30, 2014 4:30pm


  • Identifying regulatory "hot buttons" relating to broker-dealer AML compliance
  • Developing a preemptive plan of action to evaluate the effectiveness of your AML program
  • Finding solutions to address strained and limited resources and staffing
  • Applying best practices for account surveillance and client on-boarding requirements


  • Jeff Horowitz, Managing Director, Global Head of Compliance, Pershing
  • Steven D. Trigili, CAMS, Chief Compliance Officer, Garden State Securities
  • Catherine LaFalce, Global Anti-Money Laundering Compliance Risk Management (ACRM) Head, Markets and Banking, Citigroup
  • Anita D. White, CAMS, Vice-President, Director of Corporate Compliance/AML, Raymond James Financial

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