Emerging Trends in the KYC Space; A Look into Today's Issues and Tomorrow's Solutions (Presented by SWIFT)

Sep 29, 2015 10:00am ‐ Sep 29, 2015 11:15am

Identification: SE8

• Learning how the KYC compliance battle has evolved over time and pinpointing the cause behind the heightened  awareness of KYC requirements
• Understanding the need to add the customer’s customer to your list of concerns and complying with these requirements

Defining Success in AML Model Auditing (Presented by Carolinas Chapter)

Sep 29, 2015 10:00am ‐ Sep 29, 2015 11:15am

Identification: CI2

• Delineating differences between AML auditing vs. validation tools to secure desired outcomes
• Incorporating regulatory expectations into AML models to reduce compliance risks
• Synchronizing model risk management and audit functions to boost AML oversight efficiencies

Registered Investment Advisers (RIA) Focus: Defining the Impact of Potential AML Program Rules

Sep 29, 2015 10:00am ‐ Sep 29, 2015 11:15am

Identification: MIT6

• Identifying who the proposed rule may cover and discussing potential vulnerabilities and risks of money laundering posed by different advisory activities
• Understanding which AML program requirements would apply to RIAs once the proposed rule is passed
• Learning from recent enforcement cases and applying best practices

Compliance Priorities and Best Practices for Insurance Firms

Sep 29, 2015 10:00am ‐ Sep 29, 2015 11:15am

Identification: MIT7

• Promoting an enterprise-wide culture of compliance
• Developing KYC/CDD standards for independent insurance agents
• Formulating effective fraud/money laundering detection programs for covered products

Developing Business Continuity Strategies and Emergency Response Plans for Cyber Security Breaches

Sep 29, 2015 10:00am ‐ Sep 29, 2015 11:15am

Identification: ET1

• Building intellectual and technological architecture to provide early alerts to potential cyber attacks
• Conducting model validation to test the efficacy of your cyber security program
• Creating a rapid response plan to contain damage, alert law enforcement and protect customers in the event of a breach

Managing Personal Versus Corporate Liability Risk in Compliance Actions

Sep 29, 2015 12:30pm ‐ Sep 29, 2015 1:45pm

Identification: CS5

• Analyzing cases where enforcement actions found corporate and personal violations
• Understanding the parameters applied size and severity of penalties imposed to AML officers 
• Mitigating personal liability risk with enterprise-wide culture of compliance measures

Research and Findings: CAMS-Audit White Papers

Sep 29, 2015 12:30pm ‐ Sep 29, 2015 1:45pm

Identification: AF1

Months of meticulous fact-finding and fieldwork culminate in thought-provoking white papers for graduates of the CAMS-Audit Advanced Certification program. At this session, program alumni will share their discoveries and conclusions in presentations before fellow thought leaders of this rapidly evolving AML specialty.

Taking an Advanced Approach to Anti-Bribery and Corruption Compliance

Sep 29, 2015 12:30pm ‐ Sep 29, 2015 1:45pm

Identification: AT1

• Enhancing your training on FCPA with relevant international laws to achieve an enterprise-wide culture of compliance
• Creating an in-depth ABC assessment and monitoring system for PEPs, high-risk industries and unusual transactions
• Conducting ABC auditing to identify and resolve potential regulatory violations 

Analytics for AML - Will Analytics Be the Silver Bullet to Reduce False Positives? (Presented by BAE Systems)

Sep 29, 2015 12:30pm ‐ Sep 29, 2015 1:45pm

Identification: SE9

• Discovering how analytics can enhance traditional detection methods by uncovering hidden connections between seemingly unrelated parties
• Learning about the Benefits of using analytics in the absence of data scientists on staff
• Combining analytics with transaction monitoring and sanctions screening to achieve accurate results

Tailoring Compliance Policies for Credit Unions and Small Institutions (Presented by Southern California Chapter)

Sep 29, 2015 12:30pm ‐ Sep 29, 2015 1:45pm

Identification: CI3

• Adopting risk-based programs to leverage finite resources and meet regulatory expectations
• Customizing training for the unique challenges of credit unions to optimize staff regulatory literacy
• Conducting effective CDD/EDD procedures to mitigate regulatory and operational risks