Description
• Reviewing regulatory penalties for failure to develop appropriate, risk-based AML programs, systemic gaps such as lax CDD and non-remediation of existing consent orders
• Assessing SEC action involving transparency lapses such as misleading advisory clients on pricing and services and failure to disclose conflicts of interest
• Analyzing OCC actions requiring appointment and maintenance of compliance committees, director training on risk management practices and required look-backs
Moderator(s):
- Bob
Molloy,
CAMS,
Chief BSA/AML Officer,
Raymond James Financial
Speaker(s):
- Stephanie
Brooker,
Partner,
Gibson Dunn
- Megan
D. Hodge,
CAMS,
Executive Compliance Director, BSA/AML Officer,
Ally Bank
- Elizabeth
Davy,
Partner,
Sullivan & Cromwell
- Dan
Stipano,
Partner,
Buckley LLP
