C&L Society Boston Regional Seminar
SIFMA's Compliance & Legal Society 2018 Regional Seminars will be held in Boston at the Seaport Hotel on May 1.…
Anti-Money Laundering & Financial Crimes Conference
Registration Closed
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
Sigal Mandelker
Under Secretary for Terrorism and Financial Intelligence
U.S. Department of the Treasury
Andrew Pak
Senior Counsel, Computer Crimes and Intellectual Property Section (CCIPS)
U.S. Department of Justice
Gustavo A. Rodriguez
Lieutenant
NYPD Intelligence and Counterterrorism
Susan Schroeder
Executive Vice President and Head of Enforcement
FINRA
Pricing
| Early Bird Rates | $1095 |
|---|---|
| Pre-Conference Rates | $1195 |
| On-Site Rates | $1295 |
| Early Bird Rates | $1345 |
|---|---|
| Pre-Conference Rates | $1445 |
| On-Site Rates | $1545 |
| Early Bird Rates | $795 |
|---|---|
| Pre-Conference Rates | $795 |
| On-Site Rates | $795 |
| Member | Non-Member | Regulator | |
|---|---|---|---|
| Early Bird Rates | $1095 | $1345 | $795 |
| Pre-Conference Rates | $1195 | $1445 | $795 |
| On-Site Rates | $1295 | $1545 | $795 |
Program
7:30am – 5:30pm
Registration Desk Hours
7:30am – 8:30am
Sponsored by Gibson Dunn & Crutcher LLP
Sponsored by Gibson Dunn & Crutcher LLP
8:30am – 8:40am
Participants
Ira D. Hammerman
Speaker
8:30am – 4:10pm
Sponsored by Thomson Reuters
Sponsored by Thomson Reuters
8:40am – 9:10am
Participants
Susan A. Schroeder
Speaker
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, Akrivi Mazarakis, Michael Rufino
Moderator
Panelists
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 financial institutions, regulators and policy makers are considering as our marketplace continues to evolve.
Participants
Jeffrey Weiss, Dale Choi, Thomas Iverson, Satish M. Kini, Bill Nosal
Moderator
Panelists
12:05pm – 1:15pm
Sponsored by Davis Polk & Wardwell LLP
Sponsored by Davis Polk & Wardwell LLP
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
Panelists
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
Panelists
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…
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
Panelists
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
Panelists
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
Panelists
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…
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
4:10pm – 5:30pm
Sponsored by Allen & Overy LLP
Sponsored by Allen & Overy LLP
7:30am – 4:30pm
Registration Desk Hours
7:30am – 8:30am
Sponsored by Debevoise & Plimpton LLP
Sponsored by Debevoise & Plimpton LLP
8:30am – 9:00am
Participants
Sigal Mandelker
Speaker
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
Panelists
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
Panelists
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…
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, Quinn Hout, David Szerlip
Speakers
10:15am – 10:40am
Sponsored by Dow Jones Risk & Compliance
Sponsored by Dow Jones Risk & Compliance
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
Panelists
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
Panelists
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,…
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
Panelists
11:55am – 1:15pm
Sponsored by Booz Allen Hamilton
Sponsored by Booz Allen Hamilton
Participants
Andrew Pak
Speaker
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:
- 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
Panelists
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, Lara Shalov Mehraban, Blake Snyder, Alexander Wilson
Moderator
Panelists
4:15pm – 4:45pm
Participants
Gustavo A. Rodriguez
Speaker
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.
Hotel Accommodations
Room rates: $229 Single/Double
Please note the room block cutoff date is January 26, 2018.
Related Resources
2018 Remarks as Prepared for Delivery
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Remarks as Prepared for Delivery
Ira D. Hammerman, Executive Vice President and General Counsel, SIFMA
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Remarks as Prepared for Delivery
Susan Schroeder, Executive Vice President, Enforcement, FINRA
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Remarks as Prepared for Delivery
Sigal Mandelker, Under Secretary for Terrorism and Financial Intelligence, U.S. Department of the Treasury
Download Program
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PDFDownload 2018 Program
2018 Program
Past Conference Resources
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PDFDownload Pocket Guide - AML2017
Pocket Guide - AML2017
Sponsorship
Download a comprehensive guide to all sponsorship opportunities available at this conference.
Questions? Contact Diana Serri at 212.313.1258.
View Sponsor Profiles (PDF)
Diamond
Platinum
Gold
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SIFMA's Strategic Partners
Accreditation
Continuing Education
The 2018 Anti-Money Laundering and Financial Crimes Conference will be eligible for ACAMS, CLE and CPE credit.
ACAMS Credit
SIFMA’s 2018 Anti-Money Laundering & Financial Crimes Conference is now accredited by ACAMS. This year’s program has been approved for up to twelve (12) Certified Anti-Money Laundering Specialist (CAMS) credits.
To learn more about CAMS credits and to download the Candidate Handbook, visit the ACAMS website.
CFCS Credit
Attendees may also be able to submit their CAMS certificate to earn Certified Financial Crime Specialist (CFCS) credits for this event.
To learn more about CFCS credits and to download the CFCS Candidate Handbook or CFCS Recertification Handbook, visit the Association of Certified Financial Crime Specialists website.
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 for twelve (12) hours. 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.
View SIFMA’s official press policy.
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.