Description

• Avoiding systemic compliance deficiencies commonly cited in consent orders
• Mapping common themes in sanctions violations to prevent similar outcomes
• Charting current corrective action trends, including direct regulator monitoring

Speaker(s):

• Jonathan E. Lopez, Partner, Orrick
• Brian Orsak, Managing Editor, ACAMS
• Dan Stipano, Partner, Buckley LLP
• John Wagner, CAMS, NBE, Managing Director, Deloitte Risk and Financial Advisory