Anti-Money Laundering & Financial Crimes Conference

Date

February 12 - February 13, 2018

Location

New York, NY

Pre-Conference Rates – Until 2/11/18

  • Member $1195
  • Non-Member $1445
  • Regulator $795

Overview

SIFMA’s Anti-Money Laundering & Financial Crimes Conference continues to be the leading forum for professionals from the securities industry, regulatory agencies and law enforcement to discuss current legal and regulatory developments and priorities in the AML and financial crime space. We hope you’ll join us for this two-day event at the Marriott Marquis in New York City this coming February.

AML and financial crime professionals continue to serve as a vital role within the compliance departments of financial institutions. Don’t miss this opportunity to gather with colleagues and peers to see how firms are responding to changes in regulations, supervisory expectations, and illicit finance typologies around the globe, and join in the conversation about the path forward. Throughout the two-day program, participants will have the opportunity to hear directly from the industry’s regulators; participate in closed-door breakout sessions; and network with policy makers and peer compliance professionals.

Featured Speakers

2018 General Session Topics

Regulatory and Examination Priorities 2018
Beyond 2018: The Future of AML
Hot Topics in AML: The Industry’s Perspective
AML/Financial Crime Enforcement Trends

Stay tuned for additional program announcements!

Program

7:30am – 5:30pm

Registration Desk Hours

7:30am – 8:30am

8:30am – 8:40am

Participants

Ira D. Hammerman

Speaker

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

8:30am – 4:10pm

Sponsored by Thomson Reuters

Sponsored by Thomson Reuters

8:40am – 9:10am

Participants

Susan A. Schroeder

Speaker

Susan A. Schroeder

Executive Vice President and Head of Enforcement

FINRA

Susan A. Schroeder’s Biography

9:10am – 10:25am

Hear directly from industry regulators about their priorities for 2018.  Discussion topics will include regulatory and examination expectations for the year and the panelists’ perspectives on key issues impacting both…

Hear directly from industry regulators about their priorities for 2018.  Discussion topics will include regulatory and examination expectations for the year and the panelists’ perspectives on key issues impacting both financial firms and policy makers in the current AML and financial crime environment.

Participants

Katrina A. Carroll, Stephanie L. Brooker, Jeremy Kuester, Michael Rufino, Emily Westerberg Russell

Moderator

Katrina A. Carroll

Executive Vice President and Chief Anti-Money Laundering Officer

LPL Financial LLC

Katrina A. Carroll’s Biography

Panelists

Michael Rufino

Executive Vice President, Head of Member Regulation - Sales Practice

FINRA

Michael Rufino’s Biography

10:25am – 10:50am

Sponsored by ACA Compliance Group

Sponsored by ACA Compliance Group

10:50am – 12:05pm

As we and our regulators react to changes in the cyber landscape, the increase in senior investors, and new rules like CDD, we are challenged with looking into the future…

As we and our regulators react to changes in the cyber landscape, the increase in senior investors, and new rules like CDD, we are challenged with looking into the future of AML.  This panel will discuss some of the challenges we face and explore current and future efforts that firms are considering as our marketplace continues to evolve.

Participants

Jeffrey Weiss, Dale Choi, Satish M. Kini, Bill Nosal, Sarah Runge

Moderator

Jeffrey Weiss

Managing Director & Chief Anti-Money Laundering Officer

TD Ameritrade, Inc.

Jeffrey Weiss’s Biography

Panelists

Bill Nosal

Vice President – Business Strategy and Development Market Technology

NASDAQ

Bill Nosal’s Biography

Sarah Runge

Director of the Office of Strategic Policy for Terrorist Financing and Financial Crimes

U.S. Department of the Treasury

Sarah Runge’s Biography

12:05pm – 1:15pm

1:15pm – 2:30pm

The Office of Foreign Assets Control and other sanctions authorities have increased their use of capital markets-focused sanctions such as the Russia/Ukraine sectoral sanctions and the recently deployed Venezuela sanctions. …

The Office of Foreign Assets Control and other sanctions authorities have increased their use of capital markets-focused sanctions such as the Russia/Ukraine sectoral sanctions and the recently deployed Venezuela sanctions.  This panel of industry experts and practitioners will discuss the current prohibitions and authorizations and how guidance is being applied in this highly complex and evolving area.  How do these restrictions differ across jurisdictions globally?  How are these sanctions likely to evolve?  What are tension points for compliance teams within large sophisticated financial institutions?  The panel will consider these questions and provide valuable insight on developing an appropriate control framework to ensure ongoing compliance.

Participants

Jonathan Thomas, Dorothy Bennett, Sahand BoorBoor, Jeanine P. McGuinness

Moderator

Jonathan Thomas

Vice President & Co-Head Government Sanctions Group

Goldman, Sachs & Co.

Jonathan Thomas’s Biography

Panelists

Dorothy Bennett

Managing Director – Global Sanctions Compliance

JPMorgan Chase & Co.

Dorothy Bennett’s Biography

Sahand BoorBoor

Managing Director, Global Economic Sanctions Executive

Bank of America Merrill Lynch

Sahand BoorBoor’s Biography

This panel will highlight some ideas, tips and trends in conducting the annual BSA/AML independent test.  Hear the perspectives of both those conducting the audit and those being audited.

This panel will highlight some ideas, tips and trends in conducting the annual BSA/AML independent test.  Hear the perspectives of both those conducting the audit and those being audited.

Participants

John Davidson, Clayton Mitchell, Randy L. Tripp, Kate Valleau

Moderator

John Davidson

Vice President & Global Head of Anti-Money Laundering

E*Trade Financial

John Davidson’s Biography

Panelists

Clayton Mitchell

Governance, Risk and Compliance Principal

Crowe Horwath LLP

Clayton Mitchell’s Biography

Randy L. Tripp

Managing Director, General Auditor

TD Ameritrade Holding Corporation

Randy L. Tripp’s Biography

Kate Valleau

Vice President, Internal Audit

Raymond James Financial, Inc.

Kate Valleau’s Biography

Sponsored by OTC Markets

In this session, OTC Markets will provide an overview of promotion in the OTC and small cap listed markets, as well as new promotion…

Sponsored by OTC Markets

In this session, OTC Markets will provide an overview of promotion in the OTC and small cap listed markets, as well as new promotion data tools and policies for QX, QB and Pink issuers. Other trending OTC topics including Shell Risk data, Service Provider information and Cryptocurrencies will also be addressed. Additionally, the session will recap key microcap enforcement actions that the SEC and FINRA brought in 2017 and discuss microcap trends as reflected in the SEC’s and FINRA’s 2018 regulatory and examination priorities letters. Finally, the panel will provide an overview of the Canadian microcap space (current state, trends) along with some suggestions on mitigating microcap risk.

Participants

Jay M. Lippman, Matthew Fuchs, John Thorpe, Brian Walsh

Moderator

Jay M. Lippman

Managing Director

Exiger

Jay M. Lippman’s Biography

Panelists

Matthew Fuchs

Executive Vice President, Market Data

OTC Markets Group, Inc.

Matthew Fuchs’s Biography

John Thorpe

Associate Director, Compliance

RBC Capital Markets, LLC

John Thorpe’s Biography

Brian Walsh

Director, Anti-Money Laundering Officer and Chief Compliance Officer

Pershing Securities Canada Limited

Brian Walsh’s Biography

2:30pm – 2:55pm

Sponsored by Merlon Intelligence

Sponsored by Merlon Intelligence

2:55pm – 4:10pm

Anti-bribery and anti-corruption efforts continue to make news, from SEC and international enforcement cases, to domestic corruption, to coverage of the Panama and Paradise Papers leaks, to corrupt regimes around…

Anti-bribery and anti-corruption efforts continue to make news, from SEC and international enforcement cases, to domestic corruption, to coverage of the Panama and Paradise Papers leaks, to corrupt regimes around the world.  What are the reputational risks to your firm of doing business with clients who are in the news?  What is your legal exposure?  What are the legal and regulatory requirements and expectations with respect to your compliance programs?  This panel will consider these questions, discuss implications across a firm’s business activities, including underwriting and private equity, and address effective linkages between AML and anti-bribery programs.

Participants

Catherine (Cathy) A. LaFalce, Deborah Buchanan, Daniel S. Ruzumna, Jeremy Warren

Moderator

Catherine (Cathy) A. LaFalce

Global Anti-Money Laundering Compliance Risk Management (ACRM) Head, Markets and Banking

Citi

Catherine (Cathy) A. LaFalce’s Biography

Panelists

Jeremy Warren

Head of Global Financial Crimes Compliance, Corporate & Investment Bank

JPMorgan Chase & Co.

Jeremy Warren’s Biography

As cyber threats evolve, policy makers are increasingly focused on the impact of cyber-related crime on our firms.  This panel will discuss the intersection of cyber and AML for financial…

As cyber threats evolve, policy makers are increasingly focused on the impact of cyber-related crime on our firms.  This panel will discuss the intersection of cyber and AML for financial institutions, including regulatory requirements and expectations related to the reporting of cyber events.

Participants

Elizabeth “Paige” Baumann, Kelly D. Gentenaar, Sarah D. Green, Gary Novis, Seetha Ramachandran

Moderator

Elizabeth “Paige” Baumann

Senior Vice President, Chief Anti-Money Laundering Officer

Fidelity Investments

Elizabeth “Paige” Baumann’s Biography

Panelists

Kelly D. Gentenaar

Vice President and Deputy AML Officer

E*Trade Financial Corporation

Kelly D. Gentenaar’s Biography

Gary Novis

Director for the Office of Strategic Policy

Financial Crimes Enforcement Network (FinCEN)

Gary Novis’s Biography

Sponsored By Merlon Intelligence

Merlon Intelligence is a global compliance software firm supporting the financial services industry. Built by a world-class team of machine learning and compliance leaders,…

Sponsored By Merlon Intelligence

Merlon Intelligence is a global compliance software firm supporting the financial services industry. Built by a world-class team of machine learning and compliance leaders, our mission is to deliver a full suite of AI-driven product offerings that support the needs of financial institutions in the area of financial crimes compliance. Using artificial intelligence and machine learning, our software transforms how customers are on-boarded, compliance risk is assessed and introduces intelligence into the screening and monitoring processes used by leading financial institutions around the world. In this workshop you'll learn how artificial intelligence (AI) is being used to help accelerate customer on-boarding and related screening processes. From automatically aggregating industry sources, to accumulating knowledge and intelligently assessing customer risk, AI is now providing previously unimaginable automation and intelligence to the KYC process within many leading financial institutions. We will take you through these new innovations and solutions, and you'll get to see first hand how AI is reducing compliance risk and cost, while improving the customer and compliance experience.

Participants

Stephen Epstein

Speaker

Stephen Epstein

Chief Innovation Officer

Merlon Intelligence

Stephen Epstein’s Biography

4:10pm – 5:30pm

Networking Reception

7:30am – 4:30pm

Registration Desk Hours

7:30am – 8:30am

8:30am – 9:00am

Participants

Sigal Mandelker

Speaker

Sigal Mandelker

Under Secretary for Terrorism and Financial Intelligence

U.S. Department of the Treasury

Sigal Mandelker’s Biography

8:30am – 4:45pm

Sponsored by Thomson Reuters

Sponsored by Thomson Reuters

9:00am – 10:15am

After years of false starts and international pressure, on May 11, 2018 the United States will finally have a beneficial ownership rule.  But this is more than a rule –…

After years of false starts and international pressure, on May 11, 2018 the United States will finally have a beneficial ownership rule.  But this is more than a rule – it’s the fifth pillar of an AML program.  Leading practitioners will discuss the rule’s requirements and the perils and pitfalls of implementation and documentation.

Participants

Alan Williamson, Elaine Banar, Valerie Gottlieb, Justin Mendelsohn, Scott Reese, Betty Santangelo

Moderator

Alan Williamson

Director, Financial Crime Compliance Wealth & Investment Management, Americas

Barclays

Alan Williamson’s Biography

Panelists

Elaine Banar

Global Head of Anti-Money Laundering and Anti-Corruption Compliance

Guggenheim Partners, LLC

Elaine Banar’s Biography

Valerie Gottlieb

Assistant General Counsel, Global Financial Crimes Legal

JPMorgan Chase & Co.

Valerie Gottlieb’s Biography

Justin Mendelsohn

Deputy Head of AML and Sanctions

Brown Brothers Harriman & Co.

Justin Mendelsohn’s Biography

Scott Reese

Vice President, Financial Crimes Compliance

LPL Financial

Scott Reese’s Biography

This panel of subject matter experts will discuss new trends and the ever-expanding scope of the investigative function of broker-dealer AML programs.  The panel will give particular focus to investigations…

This panel of subject matter experts will discuss new trends and the ever-expanding scope of the investigative function of broker-dealer AML programs.  The panel will give particular focus to investigations related to elder financial exploitation.

Participants

Logan Anderson, Max Levine, Ronald Long, Michael McNally, Thor Nelson

Moderator

Logan Anderson

Director, AML Strategy & Investigations

TD Ameritrade, Inc.

Logan Anderson’s Biography

Panelists

Max Levine

Managing Director, Deputy AML Compliance Officer

Charles Schwab & Co., Inc.

Max Levine’s Biography

Ronald Long

Director of Regulatory Affairs and Elder Client Initiatives

Wells Fargo Advisors

Ronald Long’s Biography

Michael McNally

Vice President, Financial Intelligence Unit

Fidelity Investments

Michael McNally’s Biography

Thor Nelson

Director of Anti-Money Laundering / Anti-Fraud

Ameriprise Financial, Inc.

Thor Nelson’s Biography

Sponsored by Booz Allen Hamilton

Booz Allen believes that the future of risk management for financial institutions is in the convergence of cyber threat intelligence, AML, fraud, insider…

Sponsored by Booz Allen Hamilton

Booz Allen believes that the future of risk management for financial institutions is in the convergence of cyber threat intelligence, AML, fraud, insider threat detection, trade surveillance, and related programs. This convergence will enable firms to detect the symptoms of a threat and connect the dots to more comprehensively understand both individual threats and the evolving threat landscape as a whole.

Participants

Joseph Gillespie

Speaker

10:15am – 10:40am

Networking Break

10:40am – 11:55am

The red flags that help employees detect suspicious activity continue to be an area of examination focus.  How can your firm meet regulatory expectations relating to surveillance programs to ensure…

The red flags that help employees detect suspicious activity continue to be an area of examination focus.  How can your firm meet regulatory expectations relating to surveillance programs to ensure that red flags are current and relevant and employees are properly trained?  Which red flags are handled through automation in surveillance technology and which are addressed via other mechanisms and/or key partners?  How can you address the issue of silos that has been raised in a number of enforcement cases with appropriate linkages and escalation procedures?

Participants

Matthew Knapp, Brent P. Cohen, Margaret Edmunds, Sean Friedly, Gilbert Santos

Moderator

Matthew Knapp

Managing Director, Head of Anti-Money Laundering

Morgan Stanley

Matthew Knapp’s Biography

Panelists

Brent P. Cohen

U.S. Head of AML Compliance

RBC Capital Markets, LLC

Brent P. Cohen’s Biography

Margaret Edmunds

Senior Vice President, Director of AML and Corporate Compliance

Baird

Margaret Edmunds’s Biography

Sean Friedly

Senior Manager, Head of AML & Financial Crimes Investigations

Raymond James & Associates, Inc.

Sean Friedly’s Biography

Gilbert Santos

Vice President, Anti-Money Laundering Officer

Pershing LLC, a BNY Mellon Company

Gilbert Santos’s Biography

In this session, clearing and introducing firm professionals will discuss AML responsibilities in the context of the clearing firm relationship.  The discussion will cover account opening and screening considerations and…

In this session, clearing and introducing firm professionals will discuss AML responsibilities in the context of the clearing firm relationship.  The discussion will cover account opening and screening considerations and the detection and reporting of suspicious activity, including surveillance tools and resources and the filing of SARs.  The session will also cover the navigation of regulatory inquiries and examinations as well as relevant enforcement actions.  Additionally, new rule implementation, specifically the customer due diligence rule, will be discussed.

Participants

Adrienne Kosta, Brian Curtis, Michael Dressen, Monique Townsend, Andrea Walser

Moderator

Adrienne Kosta

Vice President, Anti-Money Laundering Officer

Fidelity Investments

Adrienne Kosta’s Biography

Panelists

Brian Curtis

Global Head of Anti-Money Laundering

Pershing LLC, a BNY Mellon Company

Brian Curtis’s Biography

Michael Dressen

Director of Anti-Money Laundering

RBC Wealth Management

Michael Dressen’s Biography

Monique Townsend

Vice President, Director of PWM BSA/AML Compliance

First Republic

Monique Townsend’s Biography

Andrea Walser

Managing Director, Global Financial Crimes Compliance (GFCC)

Bank of America Merrill Lynch

Andrea Walser’s Biography

Sponsored by Exiger

There are the AML, Sanctions and Anti-Corruption risk assessments, risk appetite statements, and operational risk frameworks, as well as assessments of the specific risks of…

Sponsored by Exiger

There are the AML, Sanctions and Anti-Corruption risk assessments, risk appetite statements, and operational risk frameworks, as well as assessments of the specific risks of clients, products and vendors.  How do all of these risk components fit into the overall Financial Crime Risk Framework?  Please join us for an interactive game show format that will address these issues and serve as a benchmarking tool for our audience.

Participants

Tara Loftus, April Dennis, Aaron Narva, Matthew Tubin

Moderator

Tara Loftus

Managing Director, Financial Crime Compliance Advisory practice

Exiger LLC

Tara Loftus’s Biography

Panelists

April Dennis

Director, Head of AML Modeling

Société Générale

April Dennis’s Biography

Aaron Narva

Director, Head of Exiger Insight 3PM

Exiger LLC

Aaron Narva’s Biography

Matthew Tubin

Senior Vice President, Compliance

PJT Partners

Matthew Tubin’s Biography

11:55am – 1:15pm

Sponsored by Booz Allen Hamilton

Sponsored by Booz Allen Hamilton

Participants

Andrew Pak

Speaker

Andrew Pak

Senior Counsel, Computer Crimes and Intellectual Property Section (CCIPS)

U.S. Department of Justice

Andrew Pak’s Biography

1:20pm – 2:35pm

Hear industry experts’ views on the hottest topics impacting AML in the context of current regulatory expectations, recent enforcement, and the changing money laundering/financial crime landscape.  Among other topics, the…

Hear industry experts’ views on the hottest topics impacting AML in the context of current regulatory expectations, recent enforcement, and the changing money laundering/financial crime landscape.  Among other topics, the panel may discuss:

  • AML reporting lines and organizational structures
  • Outsourcing/offshoring
  • Challenging clients
  • Higher-risk securities such as virtual currencies and Venezuelan debt
  • Marijuana-related issues
  • The Paradise Papers and related investigations
  • UK Criminal Finances Act and regulatory convergence
  • Impact of the Equifax breach

Participants

James Fiebelkorn, Bob Molloy, David Stetson, Barbara A. Stettner

Moderator

James Fiebelkorn

Vice President, AML & Anti-Fraud Compliance Department

Ameriprise Financial Services Inc.

James Fiebelkorn’s Biography

Panelists

Bob Molloy

Chief Anti-Money Laundering Officer

Raymond James Financial, Inc.

Bob Molloy’s Biography

David Stetson

Vice President, Senior Compliance Officer, Co-Head, Government Sanctions Group

Goldman, Sachs & Co.

David Stetson’s Biography

2:35pm – 3:00pm

Sponsored by Kroll, Inc.

Sponsored by Kroll, Inc.

3:00pm – 4:15pm

This panel of experts will review recent enforcement developments in the AML and financial crime space, including recent cases and statements from law enforcement and administrative agency leadership. Among other…

This panel of experts will review recent enforcement developments in the AML and financial crime space, including recent cases and statements from law enforcement and administrative agency leadership. Among other things, the panel will examine changes your firm may wish to consider for your compliance program to address current expectations and lessons learned from enforcement.

Participants

Stephen J. Shine, Joseph P. Borg, Arian M. June, Blake Snyder, Alexander Wilson

Moderator

Stephen J. Shine

Chief Regulatory Counsel

Prudential Financial, Inc.

Stephen J. Shine’s Biography

Panelists

Arian M. June

Litigation Counsel

Debevoise & Plimpton LLP

Arian M. June’s Biography

Blake Snyder

Director, AML Investigative Unit

FINRA

Blake Snyder’s Biography

Alexander Wilson

Chief of the Money Laundering and Asset Forfeiture Unit ("MLAF")

United States Attorney's Office, Southern District of New York

Alexander Wilson’s Biography

4:15pm – 4:45pm

Participants

John J. Miller

Speaker

John J. Miller

Deputy Commissioner for Intelligence and Counterterrorism

NYPD

John J. Miller’s Biography

Venue

New York Marriott Marquis

1535 Broadway
New York, NY 10036

Surround yourself with the sights and sounds of the city at New York Marriott Marquis. Get relaxed and energized simultaneously as you step into some of the largest guest rooms in NYC, amid the hustle and bustle of famed Broadway.

Picture of venue

Hotel Accommodations

Room rates: $229 Single/Double

Please note the room block cutoff date is January 26, 2018.

Book a Room

Related Resources

Accreditation

Continuing Education
The 2018 Anti-Money Laundering and Financial Crimes Conference will be eligible for ACAMS, CLE and CPE credit.

ACAMS Credit

CLE Credit
SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the state of New York. Parts of this program have been approved for CLE credits. Fee reduction may be available for qualified registrants.

 

CPE Credit
Attendees will be eligible to receive 18 Continuing Professional Education (CPE) Credits provided by the CEU Institute.
Participants will:

  • Learn about current trends and hot topics in AML/Financial Crime Enforcement
  • Understand legal and regulatory developments and priorities in the AML and Financial Crime space
  • Review and understand illicit financial typologies around the world

Fields of Study:

  • Finance – up to 9 credits available
  • Auditing – up to 1.5 credits available
  • Regulatory Ethics – up to 1.5 credits available
  • Information Technology – up to 1.5 credits available
  • Specialized Knowledge – up to 3 credits available
  • Management Services – up to 1.5 credits available

Program Level: Beginner
Delivery Method: Group Live
Advance Preparation: None
For more information regarding refund, complaint, and/or program cancellation policies, please contact SIFMA at [email protected]

CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:www.nasbaregistry.org

Media

Policy
Thank you for your interest in AML2018. Select keynote speakers will be open to the media. Please contact Katrina Cavalli at 212.313.1181 for more information.

Media Registration
Contact Emily Reinus at 212.313.1339.

Media Partnerships
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Jeana Dollear at 202.962.7384.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.