Description
• Reviewing recent and anticipated regulatory changes to facilitate adequate planning in terms of resources, talent acquisition and AML systemic adjustments
• Surveying present-day examination trends to ensure current systems align with regulatory priorities and enhance exam review preparations
• Scrutinizing recent regulatory actions, penalties and guidance to identify evolving regulatory requirements and expectations and adjust oversight accordingly
Moderator(s):
Speaker(s):
- Lisa
D. Arquette,
CAMS,
Associate Director, Division of Risk Management Supervision,
Federal Deposit Insurance Corporation (FDIC)
- Noah
Bishoff,
Director of Regulatory Policy, Office of Regulatory Policy,
FinCEN
- Spencer
W. Doak,
NBE,
Director for BSA/AML Policy,
Office of the Comptroller of the Currency
- Lourdes
Gonzalez ,
Assistant Chief Counsel – Sales Practices, Division of Trading and Markets,
U.S. Securities and Exchange Commission (SEC)
- Suzanne
Williams,
Deputy Associate Director,
Federal Reserve Board
