Automating KYC - It Can Be Done!

Apr 9, 2018 3:50pm ‐ Apr 9, 2018 4:50pm

Identification: C18

  • Learn how industry leaders automate the KYC/Onboarding process
  • Discover the role of structured Primary Source information and Artificial Intelligence/Machine Learning
  • See where data and technology intersect in identifying global beneficial owners
  • Identify how to achieve return on investment through a case study
  • Find out how traditional periodic reviews create unknown regulatory risks

ACAMS Advanced Certification Recognition

Apr 10, 2018 7:30am ‐ Apr 10, 2018 7:45am

Identification: G5

Industry Response: The Private Sector Covers the Regulatory Themes and Necessary Strategies for Compliance Success

Apr 10, 2018 7:45am ‐ Apr 10, 2018 8:55am

Identification: G6

• Analyzing the changes noted by the supervisors and covering tactics for policy, training and any governance responses
• Reviewing common concerns and possible solutions to the enforcement themes from the past year
• Creating strategies for addressing the myriad of competing issues for today’s AML professional such as incorporating cybersecurity, evolving payment systems and shifting regulatory expectations

Special Presentation and Q&A

Apr 10, 2018 8:55am ‐ Apr 10, 2018 9:45am

Identification: G7

Analyzing the Terrorist Attack Cycle: A Framework for Strengthening CTF

Apr 10, 2018 10:15am ‐ Apr 10, 2018 11:15am

Identification: G8

• Charting the six-step terrorist attack cycle to gain perspective on pre-attack financing typologies
• Integrating attack cycle progression knowledge into CTF models to flag suspicious transactional patterns preceding strikes
• Conducting simulated awareness exercises to socialize CTF best practices throughout enterprise

The North Korea Threat: Everything You Need to Know about the Hermit Kingdom

Apr 10, 2018 12:30pm ‐ Apr 10, 2018 1:45pm

Identification: C21

• Developing an integrated, holistic approach to the North Korea threat, integrating sanctions oversight into transaction monitoring, SAR filing, CDD and cybersecurity
• Tracing North Korean’s obscure funding sources such as China and Africa
• Optimizing investigative capacity with information sharing between public and private entities to mitigate risks

A Blueprint for “Re-Risking”: A Guide to Managing Higher-Risk Accounts

Apr 10, 2018 12:30pm ‐ Apr 10, 2018 1:45pm

Identification: C22

• Utilizing enhanced due diligence as needed such as responding to changes in account behavior to identify potential obscured risks such as PEP exposure
• Training staff to understand what comprises higher-risk accounts to ensure thorough assessment prior to onboarding decision
• Creating controls to ensure accounts remain within institutional risk tolerance levels and conducting periodic reviews to reveal profile changes, spot red flags and escalate inquiries as warranted

Combating Money Laundering and Financial Crime in the Securities Industry

Apr 10, 2018 12:30pm ‐ Apr 10, 2018 1:45pm

Identification: C23

• Utilizing technology including AI and analytics to update and optimize AML surveillance models
• Formalizing review processes for private banking accounts to determine source of funds, establish purpose of account, and detect and report suspicious activity
• Aligning AML and trade surveillance models to enhance identification of red flags involving market manipulation such as insider trading or microcap
• Themes from recent enforcement cases

Weapons of Mass Corruption: Strengthening ABAC Oversight

Apr 10, 2018 12:30pm ‐ Apr 10, 2018 1:45pm

Identification: C24

• Reviewing corruption case studies such as FIFA and 1MDB to identify common money laundering typologies of PEPs and kleptocrats
• Forging professional alliances with law enforcement, NGOs and professional peer groups to foster data sharing and leverage investigative resources
• Training staff on corruption red flags and creating policies for escalating, investigating and resolving suspected corrupt proceeds cases

Emerging Operational Models and Technology Strategies to Disrupt Financial Crime

Apr 10, 2018 12:30pm ‐ Apr 10, 2018 1:45pm

Identification: C25

• Cultivating a transformative approach to KYC, transaction monitoring, sanctions, fraud and market abuse challenges
• Use of innovative technology assets to evolve your business, and the industry, from human capital to technology-enabled
• Integration of next-generation trade surveillance to help financial institutions exercise greater control over their conduct risks and compliance costs