MON16 - Securities Spotlight: Reviewing Recent Enforcement Actions to Manage AML & ABAC Risks

Description

• Reviewing enforcement actions tied to weak AML & ABAC programs to detect common deficiencies

• Scrutinizing penalties to discern expectations for risk-tailored programs and needs for adequate staffing and resources

• Analyzing recent actions to highlight best practice recommendations

Moderator(s):

• Meg R. Zucker, Managing Director, AML Officer, RBC Capital Markets

Speaker(s):

• Alessio Evangelista, Deputy Chief, Bank Integrity Unit, US Department of Justice
• Sarah Green, Global Head of Financial Crimes, The Vanguard Group
• James Loonam, Of Counsel, Jones Day