Welcome Remarks

Apr 15, 2019 7:30am ‐ Apr 15, 2019 7:40am

Identification: G01

Keynote Address and Q&A

Apr 15, 2019 7:40am ‐ Apr 15, 2019 8:10am

Identification: G02

Regulatory Roundtable: Insights on Oversight Directly from Top Regulators

Apr 15, 2019 8:10am ‐ Apr 15, 2019 9:35am

Identification: G03

• Discussing recent global and domestic regulatory developments and offer insight into current AML compliance oversight trends

• Assessing recent US regulatory changes in 2018-19 and their practical impacts on systems, resources and controls

• Reviewing both good and challenging examination trends to improve institution responses and ensure clarity of expectations

Hot Topics: The Issues (and Answers) You Care Most About

Apr 15, 2019 10:05am ‐ Apr 15, 2019 11:15am

Identification: G04

Join our expert panel as they address questions and comments submitted directly by you, the attendees, and provide industry responses to discussion topics from the Regulatory Roundtable. This session provides an open forum and interactive discussion as panelists tackle topics submitted by the audience two weeks before the conference starts. Whether the issue is regtech or regulatory expectations, SARs or cybersecurity, this is your chance to be heard. It’s a frank dialogue of value to anyone involved in AML, compliance or the fight against financial crime.

Wildlife Trafficking: AML Models to Deter Environmental-Linked Financial Crime

Apr 15, 2019 12:30pm ‐ Apr 15, 2019 1:45pm

Identification: C01

• Charting common typologies of environmental-related crimes such as endangered species smuggling or trafficking in wildlife subject to harvest quotas including lumber and aquatic species

• Reviewing specific cases involving wildlife-related schemes such as rhino horn smuggling to establish ties between environmental-related trafficking and transnational financial crime organizations

• Familiarizing staff with laws such as END Wildlife Trafficking Act, utilizing resources such as State Department’s “focus countries” at higher risk of wildlife trafficking and establishing protocols for contacting and aiding authorities

Lessons Learned from ABLV and Other Major Cases Involving Inadequate Compliance Oversight

Apr 15, 2019 12:30pm ‐ Apr 15, 2019 1:45pm

Identification: C02

• Detailing regulatory actions involving insufficient AML infrastructure and its contribution to willful violations and concealment of sanctions laws and the Foreign Corrupt Practices Act

• Reviewing the use of shell companies and disguised identities to camouflage flows of suspicious payments through at-risk channels such as remote branches

• Examining consequences for implicated institutions such as multi-billion dollar fines and ABLV’s liquidation following FinCEN prohibition of correspondent accounts by US banks

SARs from a Law Enforcement Perspective

Apr 15, 2019 12:30pm ‐ Apr 15, 2019 1:45pm

Identification: C03

• Outlining SAR management practices by investigative agencies to gain insights into law enforcement review processes and priorities

• Examining examples of SAR-initiated investigations to gain insights into making SARs of optimal use to law enforcement

• Reviewing best practices for creating and maintaining outreach programs with law enforcement to foster collaborative AML and financial crime prevention efforts

Choosing an AML Technology Solution - A “How To” for Evaluating and Selecting the Best Fit for Your Institution

Apr 15, 2019 12:30pm ‐ Apr 15, 2019 1:45pm

Identification: C04

• Assessing your institution’s need for new or enhanced AML technology solutions

• Key areas of focus to evaluate in narrowing the field of suitable vendors and solutions for your institution

• Vetting potential vendors for expertise in targeted functions and capacity to integrate automated processes with existing legacy systems

• Performing a post-integration audit to assess success of outcomes, identify operational deficiencies and adjust systems or vendor relationship as warranted

Client Lifecycle Management/KYC Systems: A Guide to Successful Selection and Implementation

Apr 15, 2019 12:30pm ‐ Apr 15, 2019 1:45pm

Identification: C05

Presented by LexisNexis Risk Solutions

  • Aligning KYC technological capacity and business strategies to minimize compliance costs, strengthen client lifecycle management and enhance franchise value
  • Evaluating technology to assess best fit, ease of use and cost of ownership
  • Analyzing technological trends and business needs to implement robust KYC systems that are current and strengthen long-term client lifecycle management

Fighting Financial Crime & Having a Seat at the Table: The Women’s Leadership Perspective

Apr 15, 2019 12:30pm ‐ Apr 15, 2019 1:45pm

Identification: C06

Presented by Thomson Reuters

  • Assessing key barriers to women’s advancement in the financial and government sectors and learning how to take risks in your career
  • Learning what it takes to be a strategic leader in the risk space to fight financial crime effectively
  • Communicating your value and elevating your career by finding sponsorship opportunities at work and in the industry, plus locating male allies