Description

Developing risk-based assessments to identify and mitigate trading-relatedsanctions vulnerabilities

Using SDN matching systems to enable robust monitoring of sanctioned OFACparties

Training staff on geographic, product and client risks to strengthen thesanctions compliance culture

Moderator(s):

• Jeff Horowitz, Managing Director, Global Head of Compliance, Pershing

Speaker(s):

• Ann A. Broeker, CAMS, Compliance Leader, International Trade Controls & Economic Sanctions, GE Capital
• John Davidson, Senior Vice President and Global Head of AML, E-Trade Financial
• Jack Sonnenschein, CAMS-Audit, Founder and Principal, Compliance Navigation LLC