Safely Banking High-Risk Customers

Apr 11, 2016 1:55pm ‐ Apr 11, 2016 3:10pm

Identification: CS2

• Ascertaining institutional risk tolerance standards to develop categories of bankable industries and business lines
• Augmenting  static risk models with dynamic models that continuously update risk assessments based on transactions and client profile changes
• Elevating KYC for high-risk clients by auditing AML policies, SAR/CTR filings processes and training practices

Financial Institutions and Law Enforcement Partnering, Using Advanced Tech to Combat Financial Crime Presented by Digital Reasoning

Apr 11, 2016 1:55pm ‐ Apr 11, 2016 3:10pm

Identification: SE2

• Stopping financial criminals from “weaponizing” technology and perpetrating crime
• Discussing how law enforcement and financial institutions are using Big Data to turn the tide
• Utilizing advanced analytics and machine learning to outsmart the financial criminal

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

Designing and Managing Multi-Jurisdictional AML/CTF Program

Apr 11, 2016 1:55pm ‐ Apr 11, 2016 3:10pm

Identification: GI2

• Developing a database to foster informed and effective management of local jurisdictional compliance obligations
• Fostering an enterprise-wide culture of compliance that encompasses standardized CDD and internal data sharing policies
• Identifying conflicting cross-jurisdictional compliance mandates to formulate effective policy solutions

Compliance Lessons from Recent FINRA Enforcement Actions

Apr 11, 2016 1:55pm ‐ Apr 11, 2016 3:10pm

Identification: SS1

• Developing risk-based approach to AML enhance oversight of penny stocks and other high-risk securities products
• Reviewing personal liability penalties for applicable lessons on management accountability protocols
• Formalizing processes for the filing of SARS to serve institutional oversight goals and meet regulatory expectations

Tailoring Technology Infrastructure for Superior Compliance Oversight

Apr 11, 2016 3:40pm ‐ Apr 11, 2016 4:55pm

Identification: CS3

• Determining IT requirements based on input from internal constituencies responsible for AML/CTF, data management and due diligence functions
• Acquiring expertise to create robust networks that incorporate regulatory changes as necessary
• Testing your system for analytical integrity and identifying technology upgrade needs 

Confronting Crime and Compliance Concerns of Emerging Mobile Payment Systems

Apr 11, 2016 3:40pm ‐ Apr 11, 2016 4:55pm

Identification: ET2

• Reviewing fraud cases linked to new mobile payment platforms for guidance on enhanced customer security
• Improving non-face-to-face customer authentication to mitigate risks of accounts opened under stolen identities
• Establishing compliance and due diligence responsibilities of parties within the mobile platform network

Starting at the Top: Senior Management Accountability for Effective Compliance Oversight

Apr 11, 2016 3:40pm ‐ Apr 11, 2016 4:55pm

Identification: GI3

• Affirming executive commitment to culture of compliance and risk management principles
• Building effective arguments with senior management to procure adequate compliance resources 
• Updating management on recent SARs, significant regulatory changes and other issues requiring executive attention

Compliance Lessons from Geographic Targeting Orders (GTOs)

Apr 11, 2016 3:40pm ‐ Apr 11, 2016 4:55pm

Identification: CL3

• Clarifying FinCEN’s use of GTOs to discern their role in combatting fraud
• Mitigating the TBML risks that produced GTOs in Los Angeles and Miami
• Averting the tax and identity theft fraud outlined in a South Florida GTO

Successfully Meeting the Unique Compliance Challenges of Securities Firms

Apr 11, 2016 3:40pm ‐ Apr 11, 2016 4:55pm

Identification: SS2

• Examining FINRA Rule 3310 for a full understanding of written AML program requirements
• Building compliance infrastructure to accurately assess risks of securities and financial products
• Monitoring to flag suspicious activities like possible front-running and unusual trading patterns