Capturing a Kingpin: Lessons from El Chapo on Cartel Money Laundering

Sep 26, 2016 1:00pm ‐ Sep 26, 2016 2:15pm

Identification: CS2

• Identifying red flags tied to El Chapo’s cartel to determine areas of potential institutional risk
• Examining the cartel’s role in the Sinaloa economy to illustrate uses of private business in money laundering
• Outlining El Chapo’s organizational model to reveal typologies for laundering drug money

Insurance: Industry Focus: Creating AML Policies for Insurance-Specific Issues

Sep 26, 2016 1:00pm ‐ Sep 26, 2016 2:15pm

Identification: MIT4

Conducting institutional risk assessment to identify possible AMLoversight deficiencies Training independent agents on KYC/CDD to ensure compliance withregulatory standards Reviewing typologies of insurance fraud to strengthen your organization’sdetection and investigation procedures

Casinos: Developing and Maintaining AML Regimes for Gaming Institutions of All Sizes

Sep 26, 2016 1:00pm ‐ Sep 26, 2016 2:15pm

Identification: MIT3

• Gaining senior management support to acquire needed training and investigative resources

• Drawing on peer group initiatives and American Gaming Association best practices guidelines to establish or modify internal practices

• Adopting monitoring systems to resolve unique industry risks involving CDD, CTR filings and suspicious levels of patron play


Understanding the Convergence of Sanctions, KYC, and Transaction Monitoring

Sep 26, 2016 1:00pm ‐ Sep 26, 2016 2:15pm

Identification: SE4

Presented by CSI

Breaking down barriers between disparate compliance teams and processes togain efficiency and increase effectiveness Creating a robust operational and compliance infrastructure for divergentcompliance functions Optimizing the customer screening, due diligence, and risk ratingprocesses in real time to improve accuracy

Risk Management Strategies for Banking Third-Party Payment Processors

Sep 26, 2016 1:00pm ‐ Sep 26, 2016 2:15pm

Identification: RM2

Conducting CDD to reveal any potential risks related to PEP exposure andsanctions requirements Auditing processor’s KYC and AML policies to establish all regulatoryrequirements are met Applying robust risk-based account management principles to promptly spotand resolve red flags

Optimizing Typology Management for More Effective Risk Modeling

Sep 26, 2016 1:00pm ‐ Sep 26, 2016 2:15pm

Identification: RS2

Determining required risk-model data to achieve focused typologies servingspecific roles Reviewing typologies as risk models evolve to determine if typologyremains relevant to risk oversight processes Validating typologies with independent testing to assure model and dataintegrity

Tomorrow is Yesterday: Preparing for the Future of Financial Crime Compliance

Sep 26, 2016 1:00pm ‐ Sep 26, 2016 2:15pm

Identification: SE3

Presented by PwC
• Assessing the evolving regulatory mandate through topics like NYDFS Part 504 and FinCEN’s CDD rule
• Understanding the changes to people, process, and technology that compliance will require
• Preparing for the impact of AI, machine learning, and robotics on surveillance and regulation itself

Man vs. Machine: Balancing Automation and Manual Reviews to Strengthen Risk Monitoring

Sep 26, 2016 2:45pm ‐ Sep 26, 2016 4:00pm

Identification: RM3

Weighing the benefits and drawbacks of automated vs. manual reviews toachieve proper allocation of resources to compliance Assessing the benefits of cross-training tech and compliance staffs toincrease expertise and align institutional interests Instituting data-sharing protocols to optimize resources and createoperational efficiencies

Applying Model Risk Management Best Practices to Your List Screening Program

Sep 26, 2016 2:45pm ‐ Sep 26, 2016 4:00pm

Identification: SE5

Presented by LexisNexis

Assessing data quality for your list screening program Mobilizing the response to the data quality assessment results Executing data quality assessment remediation

Fortifying Compliance with Effective Data Mining, Analytics and Management

Sep 26, 2016 2:45pm ‐ Sep 26, 2016 4:00pm

Identification: ET1

Deploying data mining to strengthen risk-based oversight functions andtransaction monitoring Utilizing data analytics to detect financial crime patterns and assist redflag investigations Designing management hierarchies for access, storage and security toprotect data integrity