Description

• Utilizing technology including AI and analytics to update and optimize AML surveillance models
• Formalizing review processes for private banking accounts to determine source of funds, establish purpose of account, and detect and report suspicious activity
• Aligning AML and trade surveillance models to enhance identification of red flags involving market manipulation such as insider trading or microcap
• Themes from recent enforcement cases

Moderator(s):

• Steven D. Trigili, CAMS, Chief Compliance Officer, Garden State Securities

Speaker(s):

• Christopher S. Delzotto, Supervisory Special Agent, Money Laundering Unit, Federal Bureau of Investigation
• Sarah Green, Global Head of Financial Crimes, The Vanguard Group
• Bob Skrzypczak, Principal, Principal, KPMG