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

C28 - Securities Focus: Analyzing SEC Actions on Oversight Adequacy and SAR Filing

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


Description

• 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

Speaker(s):

  • John Davidson, Senior Vice President and Global Head of AML, E-Trade Financial
  • Alison Jimenez, CAMS, President and Founder, Dynamic Securities Analytics

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