PS2 - Regulatory Roundtable: Reviewing and Previewing the Latest 2017 Compliance Trends

Apr 3, 2017 7:45am ‐ Apr 3, 2017 9:35am

Scrutinizing recent US and some global compliance efforts including rule changes that impact AML coverage
Analyzing recent AML enforcement actions and areas of examination deficiencies
Evaluating “best practices” on fighting financial crime, money laundering and related issues

Lisa D. Arquette, CAMS, Associate Director, Division of Risk Management Supervision, Federal Deposit Insurance Corporation (FDIC)
John J. Byrne, CAMS, Esq., Vice Chairman, AML Rightsource
Spencer W. Doak, NBE, Director for BSA/AML Policy, Office of the Comptroller of the Currency
Lourdes Gonzalez , Assistant Chief Counsel – Sales Practices, Division of Trading and Markets, U.S. Securities and Exchange Commission (SEC)
Sarah Green, Global Head of Financial Crimes, The Vanguard Group
Jeremy Kuester, Deputy Associate Director, Policy Division, Financial Crimes Enforcement Network (FINCEN)
Rick A. Small, CAMS, Executive Vice President, Director Financial Crimes Program,, Truist
Suzanne Williams, Deputy Associate Director, Federal Reserve Board

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