0       0

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

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

Moderator(s):

Speaker(s):

  • 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

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: 
rendered in: 
* - Indicates answer is required.
token-content
token-speaker-name image
token-speaker-name
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