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ACAMS moneylaundering.com 22nd Annual International AML & Financial Crime Conference - Hollywood

CS3 - It Could Happen to You: Guarding Against Potential Personal Liability

Apr 3, 2017 3:50pm ‐ Apr 3, 2017 4:50pm

Overview
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Reviewing recent regulatory cases to understand current risks regarding professional liability
Analyzing New York State Department of Financial Services’ Part 504 regulation “Banking Division Transaction Monitoring and Filtering Program Requirements and Certifications” to chart implications for potential personal liability issues
Detailing practical strategies to defend against allegations of personal liability

Speaker(s):

John F. Caruso, Principal, KPMG
Dan Eckhart, CAMS, Attorney at Law, Dan Eckhart Law, P.A.
Polly Greenberg, Managing Director, Global Head of Program management, Global Financial Crimes Division, MUFG Bank

Moderator(s):

Brian M. Stoeckert, CAMS, Managing Director, Stratis Advisory

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