|
SIFMA thanks the following sponsors for supporting the 2007 Anti-Money Laundering conference: Attendees’ Notebooks – Compliments of Deloitte Financial Advisory Services Lanyards – Compliments of Schulte Roth & Zabel The Wall Street Journal - Compliments of Dow Jones Newswires Afternoon Audio Visual Equipment: Provided by KPMG Tote Bags - Provided by The Davidsohn Group Media Sponsor: Compliance Reporter Contributor: ACAMS (The Association of Certified Anti-Money Laundering Specialists) Contributor: Fortent Sponsorship: Committee/Speaker Dinner – Hosted by Schulte Roth & Zabel |
|
|
March 12, 2007 |
|
|
7:30 a.m. – 8:15 a.m. |
Registration and Continental Breakfast (Broadway Ballroom, 6th floor) |
|
|
Hosted by Norkom
Technologies |
|
|
|
|
|
Morning General Session (Broadway Ballroom North,
6th floor) |
|
|
Sponsored by Protiviti |
|
|
|
|
8:15 a.m. – 8:30 a.m. |
Welcome and Opening Remarks |
|
|
Alan E. Sorcher Vice President and Associate General Counsel Securities Industry and Financial Markets Association |
|
|
|
|
8:30 a.m. – 9:00 a.m. |
Key Note Address |
|
|
Frank Swedlove President Financial Action Task Force on Money Laundering (FATF) |
|
|
|
|
9:00 a.m. – 10:00 a.m. |
AML Regulation and Enforcement Update |
|
|
This panel will discuss recent AML rules, relevant guidance issued, and this past year’s significant enforcement actions. Discussion will also focus on the implications for securities firms, and what firms can expect over the next year from FinCEN and the regulatory agencies. |
|
|
|
|
|
Moderator: |
|
|
Michael Meyer Vice President and Global Head of Policies, Procedures and Regulatory Update Monitoring Goldman Sachs & Co. |
|
|
Panel: |
|
|
Jamal El-Hindi Associate Director for Regulatory Policy and Programs Financial Crimes Enforcement Network U.S. Department of the Treasury |
|
|
Lourdes Gonzalez Assistant Chief Counsel – Sales Practices Division of Market Regulation U.S. Securities and Exchange Commission |
|
|
Daniel Stipano Deputy Chief Counsel Office of the Comptroller of the Currency U.S. Department of the Treasury |
|
|
|
|
10:00 a.m. – 10:15 a.m |
Coffee Break (Broadway Ballroom Foyer, 6th floor) |
|
|
Hosted by Goodwin Procter LLP |
|
|
|
|
10:15 a.m. – 11:15 a.m. |
Correspondent and Private Banking |
|
|
The 312 Rule for foreign correspondent and private banking accounts has been one of the most challenging Patriot Act rules. Learn how firms implemented the required due diligence procedures and ways to make your compliance more effective. Discussion also of enhanced due diligence procedures and accounts with senior foreign political figures and intermediaries. |
|
|
|
|
|
Moderator: |
|
|
Michelle L. Neufeld Compliance Director and Assistant General Counsel JP Morgan Chase & Co. |
|
|
Panel: |
|
|
Linda Busby Anti-Money Laundering Officer Raymond James Financial, Inc. |
|
|
Jeffrey Horowitz Managing Director, Chief Anti-Money Laundering Officer Pershing LLC |
|
|
Beverly Loew Regulatory Policy Project Officer Financial Crimes Enforcement Network U.S. Department of the Treasury |
|
|
Mihal Nahari Senior Vice President Bank of America |
|
|
|
|
11:15 a.m. – 12:15 p.m. |
AML Surveillance, Due Diligence and Technology |
|
|
A discussion of how to design and implement an effective transactional surveillance program, including how firms conduct transactional surveillance, the technology available and the challenges of implementation. Focus will also be on technology used for CIP and due diligence, and how firms choose technology and incorporate it into their overall AML compliance function. |
|
|
|
|
|
Moderator: |
|
|
Patrick Kidney Senior Vice President, and Director of Financial Crimes Prevention and Intelligence Lehman Brothers, Inc. |
|
|
Panel: |
|
|
Tara E. Loftus Executive Director Head of Money Laundering Prevention UBS Financial Services Inc. |
|
|
C. Rachel Raemore Senior Vice President and Compliance Director Capital and Wealth Management Groups Wachovia Corporation |
|
|
Ed Sullivan Vice President Compliance Technology Goldman Sachs & Co. |
|
|
Michael Zeldin Principal Deloitte & Touche LLP |
|
|
|
|
12:15 p.m. – 1:45 p.m. |
Luncheon and Speaker (Broadway Ballroom South, 6th floor) |
|
|
Hosted by Ernst & Young |
|
|
|
|
|
William J. Fox Senior Vice President and Global Financial Crimes Executive Bank of America |
|
|
|
|
|
Afternoon General Session (Broadway Ballroom
North, 6th floor) |
|
|
Sponsored by Global
Vision Systems Inc. |
|
|
|
|
1:45 p.m. – 2:45 p.m. |
Suspicious Activity Reporting |
|
|
Discussion of the latest trends in money laundering and how to conduct an investigation of suspicious activity. Also focus on issues related to filing, documenting and sharing SARs. |
|
|
|
|
|
Moderator: |
|
|
Karen O’Toole Vice President and Associate General Counsel Fidelity Investments |
|
|
Panel: |
|
|
Tim O’Neal Lorah Executive Director Global Head, Anti-Money Laundering Group Morgan Stanley |
|
|
Thomas Fleming Assistant Director, Office of Regulatory Policy Regulatory Policy and Programs Division Financial Crimes Enforcement Network |
|
|
Marcy Forman Director, Office of Investigations U.S. Immigration and Customs Enforcement Department of Homeland Security |
|
|
John L. Riggi Assistant Section Chief, Terrorist Financing Operations Section FBI |
|
|
|
|
2:45 p.m. – 3:15 p.m. |
OFAC Update |
|
|
Adam Szubin Director Office of Foreign Assets Control U.S. Department of the Treasury |
|
|
|
|
3:15 p.m. – 3:30 p.m. |
Coffee Break (Broadway Ballroom Foyer, 6th floor) |
|
|
Hosted by Mantas, Inc. |
|
|
|
|
3:30 p.m. – 4:30 p.m. |
Compliance and Examination Issues |
|
|
SEC and SRO representatives will discuss the latest on anti-money laundering examination procedures and findings, compliance trends, feedback and guidance to the industry. |
|
|
|
|
|
Moderator: |
|
|
Betty Santangelo Partner Schulte Roth & Zabel LLP |
|
|
Panel: |
|
|
Alma Angotti Counsel, Department of Enforcement NASD |
|
|
Karen Buck Burgess Senior Advisor Office of Compliance Inspections and Examinations U.S. Securities and Exchange Commission |
|
|
Stephen Ganis Chief Anti-Money Laundering and U.S. Sanctions Officer Fidelity Investments |
|
|
Michael Rufino Senior Vice President New York Stock Exchange, Inc. |
|
|
|
|
4:30 p.m. – 5:00 p.m. |
Question and Answer Forum |
|
|
This is an opportunity to raise questions with our conference panelists. |
|
|
|
|
|
Moderator: |
|
|
Stephen Shine Senior Vice President, Associate General Counsel Prudential Equity Group LLC |
|
|
|
|
5:00 p.m. |
Program Concludes |
|
|
|