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ACAMS 14th Annual AML & Financial Crime Conference

PS3 - Achieving Positive Resolutions to Annual Examinations

Sep 28, 2015 9:45am ‐ Sep 28, 2015 11:00am


• Soliciting input to determine potential examiner issues and develop appropriate institutional responses
• Communicating with your examiner to determine regulatory expectations and mitigate disputes and misunderstandings
• Negotiating corrective action plans for matters requiring attention


  • Lisa D. Arquette, CAMS, Associate Director, Division of Risk Management Supervision, Federal Deposit Insurance Corporation (FDIC)
  • John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource
  • Koko Ives, Manager, BSA/AML Compliance Section, Division of Supervision and Regulation, Federal Reserve Board
  • Greg Lisa, Chief of the Money Services Businesses and Casinos Section, Enforcement Division, Financial Crimes Enforcement Network (FinCEN)
  • Rick A. Small, CAMS, Executive Vice President, Director Financial Crimes Program,, Truist
  • Spencer W. Doak, NBE, Director for BSA/AML Policy, Office of the Comptroller of the Currency
  • Christine Ring, CAMS, Managing Director of AML/ ATF Assessment Program, AML and Compliance Division, Office of the Superintendent of Financial Institutions (OSFI)

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