Description

• Outlining methods of independent monitor such as document reviews, site visits and management interviews to attain clear understanding of processes, roles and goals

• Creating communication protocols among institution, monitor, regulator and/or prosecutor to plan corrective actions, assess progress and keep monitorship on schedule

• Reviewing monitor recommendations to jointly develop implementation plan that satisfies original settlement agreement and bolsters compliance systems going forward

Moderator(s):

• Meryl Lutsky, Former Chief of Crime Proceeds, Strike Force Criminal Enforcement and Financial Crimes Bureau, New York State Attorney General’s Office

Speaker(s):

• Daniel W. Levy, Principal, McKool Smith
• Tim McNeil, CAMS, Head of Financial Crime Investigations, Deutsche Bank
• Jennifer L. Sutton, Sullivan & Cromwell, LLP