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