Welcome Remarks

Sep 25, 2017 7:50am ‐ Sep 25, 2017 8:15am

Identification: MON01


Keynote Address

Sep 25, 2017 8:15am ‐ Sep 25, 2017 8:45am

Identification: MON02


Insights On Oversight: A Regulatory Roundtable on AML Trends and Issues

Sep 25, 2017 8:45am ‐ Sep 25, 2017 10:00am

Identification: MON03

• Reviewing current positive and negative examination trends to ensure proper staff training and exam preparation

• Analyzing recent and upcoming regulatory changes impacting compliance functions

• Scrutinizing recent regulatory guidance and actions to identify practical lessons to improve AML management


New York State of Mind: Analyzing the National Implications of NYDFS 504

Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am

Identification: MON04

  • Assessing the potential enhancements needed to any existing AML program to meet the new standard set by the Rule 504 annual certification requirement, including those not regulated by the NYDFS
  • Adjusting approaches to data management, issue management, risk assessment and independent testing
  • Discussing the implications of Rule 504 in respect to personal liability


The Numbers Game: Developing Quantitative Metrics to Elevate Risk Assessment Accuracy

Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am

Identification: MON05

• Developing and assigning numeric values to AML risks to attain quantifiable client assessment outcomes
• Testing data-driven assessment models to ensure systemic integrity and accurate risk analysis
• Tailoring quantitative AML risk models for unique business lines to optimize relevance and usage throughout enterprise

Cyber CSI: A Deep-Dive Analysis of How a Cybercrime Was Committed and Investigated

Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am

Identification: MON06

• Outlining unique cybersecurity vulnerabilities that enable crime to protect against similar events
• Analyzing institutional reaction to cyber events to discern best practices for stopping intrusions and securing unaffected data
• Detailing discrete challenges to investigating cyber crime to develop pro-active response plans

Is This the Year that Sanctions, AML, and Cybersecurity in Correspondent Banking Converge?

Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am

Identification: MON07

Presented by Swift

• Understanding the evolving threats to your own institution and your business counterparts

• Taking appropriate steps to protect your organisation with the right policies, processes and people

• Exploring how fraud, cyber-crime and AML teams can join forces to address the threat


Unleashing the Power of KYC Data

Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am

Identification: MON08

Presented by Fiserv
• Looking at ways to utilize KYC data to improve your AML operations
• Identifying more suspicious activity
• Driving revenue to your firm

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

Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am

Identification: MON09

• 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


Gaming Spotlight: Best AML Practices to Manage Patron-Related Risks

Sep 25, 2017 10:30am ‐ Sep 25, 2017 11:45am

Identification: MON10

• Verifying patron identity with required documents and creating risk profiles based on factors such as country of residence, negative news reports and possible PEP ties

• Conducting due diligence on high-volume patrons to assess source of funds and spot red flags such as ties to shell firms and unusually large increases in gaming activity

• Mitigating risks by formalizing protocols for patron payout systems, investigating potential structuring, filing SARs and terminating patron relationships as warranted