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


Description

• 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

Moderator(s):

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

Speaker(s):

  • Susan J. Galli, CAMS, Managing Director, Advisory Financial Crimes Unit,, PwC
  • Marilu Jimenez, Esq., CAMS, Principal, Financial Intelligence Network & Compliance Advisors
  • Dan Soto, CAMS, Chief Compliance Officer, Ally Bank
  • Dan Stipano, Partner, Buckley Sandler LLP
  • Richard Weber, Managing Director, Americas Head of Anti-Financial Crime, Deutsche Bank

You must be logged in and own this session in order to post comments.

Print Certificate
Review Answers
Print Transcript
Completed on: token-completed_on
Review Answers
Please select the appropriate credit type:
/
test_id: 
credits: 
completed on: 
* - Indicates answer is required.
token-content
token-index
token-content
token-index
token-content
token-index
token-content
token-index
token-content
token-index
token-content
token-index
token-content
/
/
token-index
token-content