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ACAMS moneylaundering.com 24th Annual International AML & Financial Crime Conference - Hollywood

C29 - Securities Focus: Analyzing SEC Actions on Oversight Adequacy and SAR Filing

Apr 16, 2019 3:05pm ‐ Apr 16, 2019 4:20pm


• Probing SEC actions regarding deficient suspicious activity reporting to discern regulatory expectations for SAR filing on activities of independent advisers

• Standardizing definition of “reasonable suspicion” across enterprise to ensure SAR filing decisions conform to regulatory and institutional standards

• Applying lessons of enforcement actions to confirm oversight models are comply with requirements such as those governing reporting, recordkeeping and record retention



  • John Davidson, Senior Vice President and Global Head of AML, E-Trade Financial
  • Alison K. Jimenez, CAMS, President and Founder, Dynamic Securities Analytics
  • Frank Walton, CAMS, Vice President, Deputy Head of US Investigations for Global Financial Crimes, Morgan Stanley

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