Description
• Reviewing unique AML and fraud risks of microcaps to ensure adequate CIP and conduct robust monitoring
• Investigating suspicious activities to identify relevant facts and file SAR as warranted
• Conducting staff training and independent testing to assure AML models withstand regulatory rigors
Moderator(s):
- John
Davidson,
Senior Vice President and Global Head of AML,
E-Trade Financial
Speaker(s):
- Katrina
Carroll,
Executive Vice President, Chief AML Officer,
LPL Financial
- Sarah
Green,
Global Head of Financial Crimes,
The Vanguard Group
- Jeff
Horowitz,
Managing Director, Global Head of Compliance,
Pershing
