Keynote Address and Awards Presentation
Apr 11, 2016 7:40am ‐ Apr 11, 2016 8:25am
Identification: PS2
Speaker(s):
- Raymond W. Kelly, Vice Chairman, K2 Intelligence and former New York City Police Commissioner
Regulatory Roundtable: Reviewing Recent Compliance News and Previewing Emerging Trends
Apr 11, 2016 8:25am ‐ Apr 11, 2016 9:45am
Identification: PS3
• Analyzing recent U.S. regulatory changes and gauging impacts on financial institutions
• Assessing global regulatory developments as well as how to deal with common and conflicting global standards
• Recent developments in multi-government cooperatio
Speaker(s):
- Suzanne Williams, Deputy Associate Director, Federal Reserve Board
- Rick A. Small, CAMS, Executive Vice President, Director Financial Crimes Program,, Truist
- Lisa D. Arquette, CAMS, Associate Director, Division of Risk Management Supervision, Federal Deposit Insurance Corporation (FDIC)
- Sarah Green, Global Head of Financial Crimes, The Vanguard Group
- Sarah Runge, Global Head, FCC Regulatory Strategy, Credit Suisse
- Andrea Sharrin, Associate Director, Policy Division, Financial Crimes Enforcement Network (FinCEN)
- Dan Stipano, Partner, Buckley LLP
- John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource
Netting FIFA: AML Lessons from the Indictment that Shocked the World
Apr 11, 2016 10:15am ‐ Apr 11, 2016 11:15am
Identification: PS4
Netting FIFA: AML Lessons from the Indictment that Shocked the World
• Dissecting FIFA’s alleged fraud to bolster anti-bribery and anti-corruption models
• Analyzing FIFA’s money movements for lessons on transaction monitoring
• Enhancing oversight of non-commercial enterprises and NGOs in light of FIFA’s alleged money laundering
Speaker(s):
- Richard Weber, Managing Director, Americas Head of Financial Crime, UBS
- Dennis M. Lormel, CAMS, President and Chief Executive Officer, DML Associates
- Toussant M. Boyce, CAMS, Advisor to the Vice-President, Caribbean Development Bank
Customizing Compliance to Meet FCPA and UK FCA Anti-Bribery Expectations
Apr 11, 2016 12:30pm ‐ Apr 11, 2016 1:45pm
Identification: CS1
• Distinguishing between AML and anti-bribery due diligence
• Scrutinizing third-party agents and foreign business ventures for PEP and other corruption risks
• Analyzing recent enforcement actions for guidance on meeting regulatory standard
Speaker(s):
- David A. Clark, CAMS, Global Head, Surveillance & Professional Excellence, Standard Chartered Bank
- Arthur D. Middlemiss, Esq., CAMS, Partner, Lewis Baach PLLC
- Jeff Woods, Director, Sales Specialization – Risk, Thomson Reuters
- Vishal Marria, CEO and Founder, Quantexa
The New MSBs: Adapting Traditional Compliance Models to Advanced Financial Technology (FinTech) Firms
Apr 11, 2016 12:30pm ‐ Apr 11, 2016 1:45pm
Identification: ES1
• Contrasting CDD and KYC oversight of traditional MSBs and emerging FinTech platforms
• Documenting AML programs of FinTech clients to assure all compliance obligations are met
• Constructing sanctions and money laundering models for risks specific to FinTech systems
Speaker(s):
- Brian M. Stoeckert, CAMS, Managing Director, Stratis Advisory
- Vikas Agarwal, Principal, Financial Crime Technology, PwC
- André Burrell, CAMS, Managing Director, BSA Officer, Sumitomo Mitsui Banking Corp
- Jeff Ross, Senior Vice President, BSA/AML Officer, Green Dot Bank
The NAFTA Nexus: Compliance Commonalities among Mexico, the US and Canada
Apr 11, 2016 12:30pm ‐ Apr 11, 2016 1:45pm
Identification: GI1
• Analyzing Mexico’s new anti-corruption law for cross-border compliance implications
• Comparing and contrasting US and Canadian CTF requirements for financial institutions
• Detailing the San Diego Tunnel Task Force and US-Mexican cooperation on smuggling
Speaker(s):
- Edward Rodriguez, CAMS, AML/BSA Consultant, Money Service Business Compliance Bureau (MSBCB)
- Ted Greenberg, President and Founder, TG Global LLC
- Marcos C. Halkin, General Counsel, Daimler Financial Services Mexico
- Jacqueline Shinfield, Partner, Blake, Cassels & Graydon LLP
Empowering the Compliance Function to Fight Human Trafficking
Apr 11, 2016 12:30pm ‐ Apr 11, 2016 1:45pm
Identification: CL1
• Detailing transaction typologies common to human trafficking to aid detection
• Formalizing processes for escalating red flags to assure thorough review
• Initiating law enforcement contact to achieve humanitarian outcomes
Speaker(s):
- William D. Langford, CAMS, Chief Compliance Officer for the Americas, MUFG Union Bank, N.A.
- Keith Kolovich, Supervisory Special Agent, Homeland Security Investigations, NY
- Maria A. Pedulla, CAMS, Director, Deputy Head, Americas AML and Head, Americas Client ID, Credit Suisse
- Anna M. Rentschler, CRCM, AMLP, CAMS, Vice President and BSA Officer, Central Bancompany
Optimizing Compliance Processes Through Standardization: Toward a Utility Model Presented by SWIFT
Apr 11, 2016 12:30pm ‐ Apr 11, 2016 1:45pm
Identification: SE1
• Leveraging collaboration to standardize sanctions list maintenance for greater effectiveness and efficiency
• Using enhanced analytics to identify high-risk relationships and substandard beneficiary data
• Exploring the next evolution in the utility model for Financial Crime Compliance
Speaker(s):
- Paul Taylor, Head of Financial Crime Compliance Initiatives Americas & UK Region, SWIFT
- Marilú Jiménez, Esq., CAMS, Founder and President, Financial Intelligence Network & Compliance Advisors (FINCAdvisors)
- Lester M. Joseph, Manager, Global Financial Crimes Intelligence Group, , Wells Fargo
- John Wagner, CAMS, NBE, Managing Director, Deloitte Risk and Financial Advisory
Coping with Growing Complexities of Virtual Currencies
Apr 11, 2016 1:55pm ‐ Apr 11, 2016 3:10pm
Identification: ET1
• Differentiating various virtual currencies to enable accurate risk assessments
• Detailing conflicting international regulatory regimes to inform effective global policies
• Reviewing recent FATF guidance on virtual currency monitoring and customer identification to mitigate crime risks
Speaker(s):
- John Bandler, CAMS, Founder, Bandler Law Firm & Bandler Group
- Anthony L. Rodriguez, CAMS, Chief Risk & Compliance Officer, Data Protection Officer, AFEX
- Juan Llanos, Managing Director, MultipleStartups
- André Burrell, CAMS, Managing Director, BSA Officer, Sumitomo Mitsui Banking Corp