Preparing for Client Focused Reform Requirements: Key Considerations
Join SIFMA and the SIFMA C&L Society on January 21, 2021 from 1:00-2:15pm ET for our latest webinar on how…
Anti-Money Laundering & Financial Crimes Conference
Overview
During SIFMA’s two-day Anti-Money Laundering & Financial Crimes Conference, learn about regulatory and examination priorities for 2021 and lessons learned from enforcement; participate in interactive financial crime case studies; and hear industry perspectives on the latest developments in the AML and financial crime space, including regulatory reform efforts, fraud trends and operational challenges related to COVID-19, human trafficking typologies, and sanctions developments.
Anti-Money Laundering & Financial Crimes Conference
Registration Rates – Until 2/23/21
- Member $299
- Regulator $99
- Non-Member $399
Overview
During SIFMA’s two-day Anti-Money Laundering & Financial Crimes Conference, learn about regulatory and examination priorities for 2021 and lessons learned from enforcement; participate in interactive financial crime case studies; and hear industry perspectives on the latest developments in the AML and financial crime space, including regulatory reform efforts, fraud trends and operational challenges related to COVID-19, human trafficking typologies, and sanctions developments.
Register
| Registration Rates | $299 |
|---|
| Registration Rates | $99 |
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| Registration Rates | $399 |
|---|
| Member | Regulator | Non-Member | |
|---|---|---|---|
| Registration Rates | $299 | $99 | $399 |
Program
All times are listed in Eastern Time zone.
11:45am – 12:45pm
Virtual Exhibit Hall
12:45pm – 12:55pm
Participants
Ira D. Hammerman
Speaker
12:55pm – 1:30pm
Hear insights from the head of FINRA’s National Cause and Financial Crimes Detection Program—including how the program has evolved, what its priorities are, and expectations for the year ahead.
Hear insights from the head of FINRA’s National Cause and Financial Crimes Detection Program—including how the program has evolved, what its priorities are, and expectations for the year ahead.
Participants
Sarah D. Green, Greg Ruppert
Moderator
Speaker
1:40pm – 2:30pm
Industry leaders will break down one of the most extraordinary years in AML compliance since the passage of the USA PATRIOT Act – without even mentioning the fallout from the…
Industry leaders will break down one of the most extraordinary years in AML compliance since the passage of the USA PATRIOT Act – without even mentioning the fallout from the global pandemic. Expect to gain expert insight into such topics as the Anti-Money Laundering Act of 2020; FinCEN’s Advance Notice of Proposed Rulemaking on AML Program Effectiveness; the FinCEN Files leak; and the emergence of a new AML enforcement authority (CFTC) and affirmation of the powers of another (SEC).
Participants
Justin Mendelsohn, Logan Anderson, Timothy Casey, Nicole de Bello, Sarah Runge
Moderator
Panelists
2:40pm – 3:30pm
Through a series of practical scenarios and case studies, this panel will facilitate active discussion of current fraud and AML trends and typologies. We’ll explore hot topics – like marijuana-related…
Through a series of practical scenarios and case studies, this panel will facilitate active discussion of current fraud and AML trends and typologies. We’ll explore hot topics – like marijuana-related transactions, penny stock trading cases, and fraudulent account takeovers – and ask that you identify red flags, suggest risk mitigants, and make the call as to whether to file a SAR.
Participants
James Fiebelkorn, Brooke Hickman, Thor Nelson, Betty Santangelo
Moderator
Panelists
The capital markets have weathered a “perfect storm” of regulatory events in recent years, including the CDD rule, OFAC’s expanded use of restrictions on the capital-raising activities of sanctions targets, and enforcement cases…
The capital markets have weathered a “perfect storm” of regulatory events in recent years, including the CDD rule, OFAC’s expanded use of restrictions on the capital-raising activities of sanctions targets, and enforcement cases highlighting the potential AML and corruption risks associated with capital raising. What AML/financial crime compliance program elements will help your firm whether the storm? This panel will review regulatory requirements and expectations for financial crime programs and the application of rules and typologies in capital markets businesses.
Participants
Margaret S. Edmunds, Eric Kaplan, Shakeema Kimble, Rockwell Reid, Andrea Walser
Moderator
Panelists
Great Scott! Recent regulatory developments may have us travelling back in time to the risk-based AML program! What does that really mean in 2021 and beyond? This panel will explore the potential…
Great Scott! Recent regulatory developments may have us travelling back in time to the risk-based AML program! What does that really mean in 2021 and beyond? This panel will explore the potential challenges associated with recalibrating internal audit and testing programs to conduct reviews that focus not just on technical compliance with rules, and will consider what a risk-based audit/testing program might look like in the future.
Participants
Catherine (Cathy) A. LaFalce, Hilary De Lorenzo, Xiling Qian, Kate Valleau
Moderator
Panelists
3:40pm – 4:10pm
Gain insight into illicit financing schemes and law enforcement use of BSA reporting from financial institutions through a case study presented by FBI Supervisory Special Agent Matt Thoresen. This case…
Gain insight into illicit financing schemes and law enforcement use of BSA reporting from financial institutions through a case study presented by FBI Supervisory Special Agent Matt Thoresen. This case study will feature an undercover investigation a of money laundering and securities fraud case that included the involvement of complicit attorneys.
Participants
Matthew A. Thoresen
Speaker
4:10pm – 5:10pm
Virtual Exhibit Hall
12:00pm – 12:50pm
Virtual Exhibit Hall
12:50pm – 12:55pm
Participants
Ira D. Hammerman
Speaker
12:55pm – 1:30pm
Participants
Andrea Sharrin, Kenneth A. Blanco
Moderator
Speaker
1:40pm – 2:30pm
COVID-19 has presented the broker-dealer industry with some unprecedented challenges. The panel will discuss, among other things, the response of government partners, new COVID-related fraud event typologies, surveillance challenges in…
COVID-19 has presented the broker-dealer industry with some unprecedented challenges. The panel will discuss, among other things, the response of government partners, new COVID-related fraud event typologies, surveillance challenges in a time of volatility, and challenges and opportunities for the future.
Participants
Elizabeth “Paige” Baumann, John Davidson, Kara Suro, Jeffrey Weiss
Moderator
Panelists
2:40pm – 3:30pm
Everyone has a part to play in detecting, reporting and preventing human trafficking. Broker-dealers have a unique opportunity to utilize their resources and existing frameworks to build an anti-human trafficking…
Everyone has a part to play in detecting, reporting and preventing human trafficking. Broker-dealers have a unique opportunity to utilize their resources and existing frameworks to build an anti-human trafficking program. During this session, we will talk a deep dive into the most common forms of human trafficking and some relevant case studies, red flags and investigative techniques, and discuss best practices firms can implement to make an impact.
Participants
Anna Manning, Jennifer Silliman, Madelyn Yarbenet
Moderator
Panelists
Cryptocurrencies (Bitcoin, Ethereum, etc.) and distributed ledger technology (blockchain) are here to stay and likely to present increasingly complex challenges for AML professionals. This session will explore the different digital…
Cryptocurrencies (Bitcoin, Ethereum, etc.) and distributed ledger technology (blockchain) are here to stay and likely to present increasingly complex challenges for AML professionals. This session will explore the different digital assets typologies that present themselves in all types of brokerage firms. We’ll discuss microcap issues such as ICOs and manipulative trading, private and exchange-traded fund creation and custody, prime brokerage hedges and securities lending, and futures and derivatives trading – all against the backdrop of regulator and enforcement statements, guidance, frameworks and actions.
Participants
Adrienne Kosta, Patrick Leary, Jeremy Warren
Moderator
Panelists
This panel will discuss sanctions policy and enforcement and how they may differ in the Biden Administration from the approaches taken by the Trump Administration. The panel will look at…
This panel will discuss sanctions policy and enforcement and how they may differ in the Biden Administration from the approaches taken by the Trump Administration. The panel will look at how U.S. sanctions against China, Venezuela and Russia may evolve and whether the new Administration may make continued use of capital markets-focused sanctions. The panel will also examine recent compliance challenges and how compliance approaches may be affected by these changes.
Participants
Satish M. Kini, Justyna Gudzowska, David Stetson, Scott Willis
Moderator
Panelists
3:40pm – 4:30pm
Hear directly from regulators and policy makers about developments in the AML and financial crimes space and their regulatory and examination priorities for 2021. Discussion topics will include lessons learned…
Hear directly from regulators and policy makers about developments in the AML and financial crimes space and their regulatory and examination priorities for 2021. Discussion topics will include lessons learned from enforcement matters, new trends and typologies, and expectations for the year ahead, which will provide you with an opportunity to consider changes to your program to address the evolving landscape and current regulatory expectations.
Participants
Katrina A. Carroll, Jason Foye, Akrivi Mazarakis, Dmitriy Vilenskiy
Moderator
Panelists
4:30pm – 5:30pm
Virtual Exhibit Hall
Venue
Virtual Gathering
Webinars, Webcasts, Virtual
Join us online for live and on-demand sessions! Participation instructions will be sent in advance of the event.
Sponsorship
Sponsorship Questions? Contact Diana Serri at 212.313.1258.
Diamond
Gold
SIFMA's Strategic Partners
Accreditation
*Accreditation is only available for live programs. On Demand content is not available for CAMS or CPE credit. CLE credit still pending.
CAMS
This event is eligible for five (5) CAMS credit hours. Partial credit is not available – individuals must attend all live programming in order to receive CAMS credits.
CPE
Eligible for up to 7.0 CPE Credits
Field of Study: Specialized Knowledge
Program Level: Intermediate
Delivery Method: Group Internet
Advance Preparation: None
Participants will learn: Regulatory and examination priorities for 2021 and lessons learned from enforcement. Latest developments in the AML and financial crime space, including regulatory reform efforts, fraud trends and operational challenges related to COVID-19, human trafficking typologies, and sanctions developments.
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
CLE credit still pending.
Media
Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134
Press Policy
Select keynote speakers are open to the media. View the press policy.
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.
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.