Description
• Evaluating impact and resolution of implementation hurdles to outline strategies for managing issues such as training, IT investment, hiring and responding to triggering events
• Detailing preferable methodologies for determining beneficial ownership to demonstrate disciplined institutional compliance with CDD Final Rule in anticipation of examination-related inquiries
• Reviewing beneficial ownership verification tools, policies and practices to evaluate efficiencies and effectiveness to strengthen entity identification accuracy and mitigate non-compliance risks
Moderator(s):
- Rick
A. Small,
CAMS,
Executive Vice President, Director Financial Crimes Program,,
Truist
Speaker(s):
- John
Davidson,
Senior Vice President and Global Head of AML,
E-Trade Financial
- Megan
D. Hodge,
CAMS,
Executive Compliance Director, BSA/AML Officer,
Ally Bank
- Dan
Stipano,
Partner,
Buckley LLP