New York State of Mind: Meeting the Challenge of Proposed NYDFS Part 504 Certification Presented by PwC

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

Identification: SE3

• Gaining an overview of the regulation’s key requirements and implications for BSA/AML compliance programs
• Understanding the meaning and reach of certification and potential approaches to managing CCO liability
• Building a sustainable certification framework that reflects extensive new technology and system requirements

Welcome Remarks and Advanced Certification Graduates Recognition

Apr 12, 2016 7:30am ‐ Apr 12, 2016 7:45am

Identification: PS5

Keynote Address

Apr 12, 2016 7:45am ‐ Apr 12, 2016 8:25am

Identification: PS6

Cybercrime Focus: Protecting Against and Recovering from Hacking

Apr 12, 2016 8:25am ‐ Apr 12, 2016 9:35am

Identification: PS7

• Integrating cybercrime prevention into AML models to mitigate hacking risks
• Erecting effective firewalls against email-based hacks and similar threats
• Developing post-hack contingency plans to limit damage and protect clients

Sanctions: Reviews, Risks and Strategies Going Forward

Apr 12, 2016 10:05am ‐ Apr 12, 2016 11:15am

Identification: PS8

• Charting current status of Iran and Cuba sanctions to keep models current
• Creating robust policies and programs for rapid responses to sanctions changes
• Instituting sanctions programs that address international PEP and weapons anti-proliferation standards

Nurturing Collaboration between Financial Institutions and Law Enforcement to Better Leverage Compliance Resources

Apr 12, 2016 12:30pm ‐ Apr 12, 2016 1:45pm

Identification: CS4

• Formalizing outreach efforts  ongoing dialogue and resources available to supplement existing compliance management
• Systematizing collaboration policies to  address client privacy and  guide employee responses during investigations
• Documenting  investigations to serve as internal training tools for facilitating case resolution and enhancing  investigative efficiencies

Devising Strategies to Combat Stolen Identity Refund Fraud (SIRF)

Apr 12, 2016 12:30pm ‐ Apr 12, 2016 1:45pm

Identification: FT1

• Examining recent prosecutions to identify common SIRF typologies including wire fraud, sham tax businesses and prepaid debit card schemes  
• Incorporating common SIRF red flags into compliance policies to ensure prompt detection and internal review 
• Documenting suspected SIRF cases and contacting law enforcement for further investigation

Creating New Approaches for Anti-Bribery and Corruption Compliance Models

Apr 12, 2016 12:30pm ‐ Apr 12, 2016 1:45pm

Identification: GI4

• Training staff on laundering typologies linked to corruption and bribery to facilitate effective detection
• Utilizing in-depth CDD/EDD methodologies to uncover ultimate beneficial ownership and possible PEP exposure
• Establishing internal systems for escalating red flags for investigation and case resolution

Without Delay: Time to Enhance Your Existing AML Processes Presented by IBM

Apr 12, 2016 12:30pm ‐ Apr 12, 2016 1:45pm

Identification: SE4

• Creating enterprise-wide data collection and information sharing models to standardize AML decision-making
• Utilizing data analytics and other technologies to sharpen AML monitoring and identify potential regulatory risks
• Formalizing protocols on investigations and law enforcement partnering to assure thorough data-based case reviews

Piercing the Veil: Increasing Transparency by Identifying Beneficial Owners

Apr 12, 2016 12:30pm ‐ Apr 12, 2016 1:45pm

Identification: SE5

  • Understanding the identification and collection of ultimate beneficial owner (UBO) information at customer acquisition and onboarding
  • Leveraging UBO data across your compliance organization to manage risk
  • Innovative ways to maintain the customer profile throughout the customer lifecycle