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ACAMS 16th Annual AML & Financial Crime Conference - Las Vegas

MON09 - Securities Small Stocks, Big Issues: Examining Best Practices for Preventing or Investigating Microcap Money Laundering Schemes

Sep 25, 2017 11:30am ‐ Sep 25, 2017 12:45pm


• 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


  • John Davidson, Senior Vice President and Global Head of AML, E-Trade Financial


  • 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

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