Building an Investigations Program Designed to Work with Law Enforcement and Regulators

Mar 17, 2015 3:40pm ‐ Mar 17, 2015 4:55pm

Identification: CS6

Every financial institution has an investigations program.  Modern AML Compliance only begins with the conducting of the investigations.  In this session learn how to:

  • Proactively develop effective relationships with law enforcement
  • Create an organizational structure and communication protocol that works for both the bank and the agents
  • Developing and deploying a crisis management plan that addresses employees, institutional reputation and business profitability while effectively coordinating with law enforcement
  • Properly adjust and adapt your AML program in response to weaknesses cited during investigations


Tackling the Challenges of Banking Non-Traditional Clients

Mar 17, 2015 3:40pm ‐ Mar 17, 2015 4:55pm

Identification: H6

As customer due diligence obligations intensify on a global scale, financial institutions are faced with heightened expectations to know their customers. Banking international students, foreign workers, non-resident aliens and other unconventional customers can create complex CDD scenarios and limitations in identifying unusual account activity. Join this panel of experts as they sift through the challenges, implications and best practices for engaging with this unique set of clients.

Managing Privacy Laws in Cross-Border Information Sharing

Mar 17, 2015 3:40pm ‐ Mar 17, 2015 4:55pm

Identification: GI6

  • Analyzing the impediments and misperceptions of protecting customer privacy
  • Overcoming the challenges of conflicting multi-jurisdictional customer privacy laws
  • Understanding the regulator’s perspective: do financial crime investigations trump privacy restrictions?

Implementing a Top-Notch FATCA Compliance Program

Mar 17, 2015 3:40pm ‐ Mar 17, 2015 4:55pm

Identification: LAT3

  • Adjusting controls to catch reporting gaps in preexisting and noncompliant accounts
  • Meeting rapidly approaching deadlines and accommodating changes to the streamlined filing compliance procedures
  • Identifying the US persons in your client list who must file an FBAR and a Statement of Specified Foreign Financial Assets

Opening Remarks - ACAMS and Dow Jones Joint Survey Executive Summary

Mar 18, 2015 7:30am ‐ Mar 18, 2015 7:45am

Identification: PS9


Keynote Address and Q&A - Wednesday

Mar 18, 2015 7:45am ‐ Mar 18, 2015 8:25am

Identification: PS10


Preparing for the Future of Global Customer Due Diligence

Mar 18, 2015 8:25am ‐ Mar 18, 2015 9:35am

Identification: PS11

  • Clarifying the definition of beneficial ownership under FinCEN’s proposed new rules
  • Comparing new customer due diligence standards to your existing program
  • Assessing the FATF’s role in establishing a single standard for customer due diligence

Bringing the Lessons Back Home: Key Takeaways and Themes from the Conference

Mar 18, 2015 10:05am ‐ Mar 18, 2015 11:15am

Identification: PS12

After three exhilarating and challenging days of the conference, you have gained a plethora of tips and tools to guide your AML strategy. Be in the room as members of the ACAMS Advisory Board cover the top issues and provide expert recommendations on:

  • Communicating the conference themes to senior management
  • Gaining valuable insight to stay abreast of these issues moving forward
  • Creating a strategic plan to incorporate essential solutions and new themes into policies and procedures at your institution

Closing Remarks

Mar 18, 2015 11:15am ‐ Mar 18, 2015 11:30am

Identification: PS13