Welcome Remarks

Sep 26, 2016 8:00am ‐ Sep 26, 2016 8:05am

Identification: PS1


Special Presentation with Q&A

Sep 26, 2016 8:05am ‐ Sep 26, 2016 8:30am

Identification: PS2


ACAMS Regulatory Update: Views and News from the Regulatory Community

Sep 26, 2016 8:30am ‐ Sep 26, 2016 10:00am

Identification: PD1

• Discussing new and ongoing regulatory initiatives affecting the AML compliance community
• Detailing positive and negative examination themes and how to utilize for training improvements
• Identifying emerging trends/new guidance and any resulting compliance challenges

Securities: Analyzing Recent FINRA Actions for Lessons on Compliance and Risk Management

Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am

Identification: MIT2

Assessing penalties tied to microcap shares to determine best practicesfor enhancing AML models Examining private placement fines to identify red flags that may indicatekickbacks and other crimes Applying guidance from FINRA’s firm culture reviews to integrate theagency’s priorities into oversight models

Tech Spotlight: Blockchain, R3 and the New KYC

Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am

Identification: CS1

• Applying blockchain applications to AML oversight to reduce risks tied to digital currencies
• Utilizing blockchain transparency to enable inter-bank data sharing and enhance KYC rigor
• Reviewing activities of the R3 blockchain bank consortium to anticipate emerging impacts on transaction monitoring, transparency and other AML issues

Managing the Risks of Risk Management

Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am

Identification: RM1

Creating risk assessment metrics to quantify adherence to institutionaland regulatory standards Formalizing ongoing client review requirements to ensure risk profilesremain accurate and updated Understanding when risk-based account terminations are appropriate toinform client retention decisions

Fortifying Compliance Infrastructure to Spot and Investigate Potential Elder Abuse

Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am

Identification: RS1

Establishing effective monitoring to capture abnormal transaction patternsor asset movements Conducting due diligence on designated fiduciaries to ensure properhandling of client finances Teaming with law enforcement to investigate alerts and possible organizedfraud schemes

Implementing AML/KYC Managed Service Solutions Using Robotics Process Automation

Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am

Identification: SE1

Presented by Accenture

Transforming KYC by implementing holistic solutions focused onsustainability Achieving scale and efficiencies by using global talent and a flexibleworkforce Optimizing quality and increasing throughput by introducing automation tothe KYC process

Intersection of Cyber Crime, Fraud and Money Laundering, What’s Your Business Defense?

Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am

Identification: SE2

Presented by BAE Systems

Identifying methods bad actors use to conduct cyber crime, money laundering and fraud Assessing relevant events, outcomes and regulatory implications Defending your customers, organization and financial ecosystem

Casinos: Applying AML Best Practices to Secure and Maintain Banking Relationships

Sep 26, 2016 10:30am ‐ Sep 26, 2016 11:45am

Identification: MIT1

Identifying potential banks with risk appetite and onboarding practicesappropriate for gaming organizations Tailoring casinos’ AML risk scoring and patron due diligence policies tomeet banks’ risk-based CDD requirements and expectations Developing relationship terms that address challenges such as accountmonitoring and data-sharing requests