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ACAMS 17th Annual AML & Financial Crime Conference - Las Vegas

THU03 - Recent Enforcement Actions: Lessons Learned on Culture of Compliance and Governance

Oct 4, 2018 9:50am ‐ Oct 4, 2018 11:05am


• Analyzing Federal Reserve and OCC actions to detail new paradigms for management governance, board independence and managing risks of sales performance pressures
• Reviewing FinCEN penalties to identify regulatory risks of weak AML funding, lax oversight of high-risk clients and compromising oversight actions such as “alert capping”
• Scrutinizing cases including liquidation of ABLV Bank of Latvia for lessons learned on impeding examinations, obstructing regulators and the need for rigorous oversight of correspondent banking and geopolitical risks


  • Kieran Beer, CAMS, Chief Analyst, Director of Editorial Content, ACAMS


  • Susan J. Galli, CAMS, President, Galli AML Advisory, LLC
  • Marilú Jiménez, Esq., CAMS, Founder and President, Financial Intelligence Network & Compliance Advisors (FINCAdvisors)
  • Dan Soto, Chief Compliance Officer, Ally Financial
  • Dan Stipano, Partner, Buckley LLP
  • Richard Weber, Managing Director, Americas Head of Financial Crime, UBS

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