Small Institution Focus: Mastering the Examination Process

Sep 27, 2016 12:35pm ‐ Sep 27, 2016 1:50pm

Identification: CB2

Reviewing previous exams to document completion of all required correctiveactions Evaluating risk management practices to verify efficacy and address anyexaminer concerns Conferring with your examiner to analyze findings and validate steps forcorrective actions if needed

Partnering with Law Enforcement to Leverage Investigative Resources

Sep 27, 2016 12:35pm ‐ Sep 27, 2016 1:50pm

Identification: IT2

Writing formal policies on collaboration to help mitigate institutionalliability and guard client privacy Designating counsel and a compliance team to manage joint investigationsand act as key contacts Conducting mid-investigation reviews to assess progress, make necessarystrategic adjustments and address potential conflicts

Crafting Auditing Processes to Strengthen Sanctions Oversight

Sep 27, 2016 12:35pm ‐ Sep 27, 2016 1:50pm

Identification: AF1

Defining the lifecycle stages of sanctions programs to assure timelyadjustments to policy shifts Utilizing compliance, operational and technology expertise to optimizeaudit quality Applying data analytics to achieve continuous monitoring of sanctionscompliance indicators

Analyzing the Next Top 3 Trends in AML

Sep 27, 2016 12:35pm ‐ Sep 27, 2016 1:50pm

Identification: SE11

Presented by Fiserv

Bringing Advanced Analytics Into Your AML Program Going Beyond Batch – How “Real-Time” Can Improve Your Program Using Your Compliance Program To Improve Your Firm’s Bottom Line

Bless Your Lucky SARs: Producing Top-Quality Suspicious Activity Reports

Sep 27, 2016 12:35pm ‐ Sep 27, 2016 1:50pm

Identification: CT2

Reviewing examples of SARs to identify best practices for determining whenfiling is warranted and justify non-filing decisions Writing narratives based on the four C’s: clear, concise, chronologicaland complete Filing your report with required FinCEN items and utilizing SAR- relatedinformation to support internal risk management

Case Study: The $100 Million Bangladesh Bank Cyberheist

Sep 27, 2016 12:35pm ‐ Sep 27, 2016 1:50pm

Identification: ET2

Examining malware infestation of Bangladesh Bank computer systems to gaininsight into protection from stealth hacker attacks Reviewing the suspected role of Bangladesh Bank insider assistance todevelop strengthened KYE and data access policies Tracing multi-country movements of the stolen funds to adapt monitoringmodels for cybercrime typologies

Life’s a Breach: Developing Rapid Response Plans to Mitigate Data Hack Damage

Sep 27, 2016 2:20pm ‐ Sep 27, 2016 3:35pm

Identification: CS6

• Training cyberattack response teams to protect critical data and contain breach damage
• Collecting and protecting cyber forensics to pinpoint the breach, supply evidence and aid investigators
• Notifying affected clients to detail extent of stolen data, likelihood of identity theft and institutional and law enforcement responses

Utilizing Existing Data and Technology Platforms to Measure, Communicate and Mitigate Risks

Sep 27, 2016 2:20pm ‐ Sep 27, 2016 3:35pm

Identification: SE12

Presented by Protiviti

Creative strategies to combine CRM and AML data to make AML monitoring more fficient Using Data analytics to monitor performance and efficiency of AML and OFAC comliance risk management processes • Practical, real-world sucess stories ofhow to automate various aspects of AML monitoring, investigation, and reporting activities

The Launderer Next Door: Real Estate, Money Laundering and the Recent GTO

Sep 27, 2016 2:20pm ‐ Sep 27, 2016 3:35pm

Identification: AT2

Examining real estate money laundering cases to adapt AML models to uniquesystemic risks Analyzing FinCEN’s GTO for insights to improve risk-based real estatetransaction monitoring Teaming with law enforcement to investigate red flags like possible PEPactivity or shell firms in high-end real estate acquisitions

Research and Findings: CAMS-Audit White Papers

Sep 27, 2016 2:20pm ‐ Sep 27, 2016 3:35pm

Identification: AF2

Gain cutting-edge insights from the original research conducted by recent graduates of the CAMS-Audit Advanced Certification program. These esteemed alumni present white papers that document what they discovered, and what it all means for compliance professionals responsible for maintaining and improving the audit function.