P6 - NYDFS 504: Strategies for Mitigating New Regulatory and Compliance Risks

Description

• Creating a “reasonably designed” transaction monitoring program to meet 504 standards • Updating systems to meet 504 requirements on filtering OFAC-prohibited transactions • Conducting testing to validate data integrity, detect systemic gaps and document remedial plans

Speaker(s):

• Polly Greenberg, Managing Director, Global Head of Program management, Global Financial Crimes Division, MUFG Bank
• Jonathan E. Lopez, Partner, Orrick
• Peter D. Wild, CAMS-Audit, Founder, Wild AML Solutions
• Anthony L. Rodriguez, CAMS, Chief Risk & Compliance Officer, Data Protection Officer, AFEX