SIFMA C&L Annual Seminar
SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. This…
Anti-Money Laundering & Financial Crimes Conference
Overview
Anti-Money Laundering & Financial Crimes Conference
Registration Closed
Overview
SIFMA’s Anti-Money Laundering & Financial Crimes Conference brings together leading professionals from the securities industry, regulatory agencies and law enforcement to discuss current developments and priorities in the AML and financial crime space. Celebrating its 19th year, this is the only conference in the AML and financial crime space tailored to broker-dealers and other members of the securities industry.
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
8:00am – 6:00pm
Registration Desk Hours
8:00am – 8:45am
Sponsored by Gibson, Dunn & Crutcher LLP
Sponsored by Gibson, Dunn & Crutcher LLP
8:45am – 8:55am
Participants
Ira D. Hammerman
Speaker
8:45am – 5:00pm
Sponsored by TransparINT, LLC
Sponsored by TransparINT, LLC
8:55am – 9:15am
Participants
Kenneth A. Blanco
Speaker
9:15am – 10:30am
Hear from industry regulators and policy makers about significant milestones in 2018 and priorities for the upcoming year. The panelists will share their perspectives on key AML and financial crime…
Hear from industry regulators and policy makers about significant milestones in 2018 and priorities for the upcoming year. The panelists will share their perspectives on key AML and financial crime issues impacting financial firms and examination touchpoints in 2019.
Participants
Stephen J. Shine, Stephanie L. Brooker, Andrew M. Calamari, Lisa M. Palluconi, Andrea Sharrin, Blake Snyder
Moderator
Panelists
10:30am – 10:55am
Sponsored by LexisNexis Risk Solutions, Inc.
Sponsored by LexisNexis Risk Solutions, Inc.
10:55am – 12:10pm
Join this panel of expert compliance professionals to examine the latest AML and financial crime challenges, including best practices in enterprise financial crime compliance, a CDD post-implementation review, and the evolving…
Join this panel of expert compliance professionals to examine the latest AML and financial crime challenges, including best practices in enterprise financial crime compliance, a CDD post-implementation review, and the evolving financial crime landscape.
Participants
James Fiebelkorn, Sarah D. Green, Robert (Bob) Molloy, David G. Sewell, Meg Zucker
Moderator
Panelists
12:10pm – 1:20pm
Networking Lunch
1:20pm – 2:35pm
Seventeen years after the enactment of the USA PATRIOT Act, institutional businesses continue to struggle with the application of basic AML principles: who is the customer, what is the transaction,…
Seventeen years after the enactment of the USA PATRIOT Act, institutional businesses continue to struggle with the application of basic AML principles: who is the customer, what is the transaction, and how do you know what you don’t know? This panel will review recent cases and guidance and the application of rules and typologies in capital markets businesses.
Participants
Alan Williamson, Winnie Gilmore, Elena Hughes, Rockwell Reid, Betty Santangelo
Moderator
Panelists
This panel will explore AML requirements applicable in the introducing/clearing space, including FinCEN guidance and relevant topics that arise, such as information sharing, joint SAR filing, delegation and reliance, and provision of AML…
This panel will explore AML requirements applicable in the introducing/clearing space, including FinCEN guidance and relevant topics that arise, such as information sharing, joint SAR filing, delegation and reliance, and provision of AML tools.
Participants
Elizabeth “Paige” Baumann, Brian Curtis, Michael Dressen, Timothy Friedman, Gerald J. Russello, Monique Townsend
Moderator
Panelists
2:35pm – 3:00pm
Sponsored by Safe Banking Systems, LLC
Sponsored by Safe Banking Systems, LLC
3:00pm – 4:15pm
How effective is your independent testing in identifying and remediating areas of concern? Are you comfortable with the level of collaboration at your firm between Corporate Audit and AML? Join…
How effective is your independent testing in identifying and remediating areas of concern? Are you comfortable with the level of collaboration at your firm between Corporate Audit and AML? Join us for a panel discussion which promises to address these questions and more. Hear from industry leaders in Audit on their perspectives in testing and what they foresee changing, as the surveillance landscape begins to embrace machine learning and artificial intelligence.
Participants
Jeffrey Weiss, Ana Alonso, Maura Kugler-Vasilescu, Tim O’Neal Lorah
Moderator
Panelists
How does your firm look at AML and sanctions risks for new products, services, vendor relationships, or other changes to the business? Are these risks considered by a new products…
How does your firm look at AML and sanctions risks for new products, services, vendor relationships, or other changes to the business? Are these risks considered by a new products committee, and what role do AML and sanctions compliance play in that committee? Who assesses whether new products are invested in potentially risky activities (e.g., crypto-related holdings)? Who considers the risks associated with any new vendor relationships?
Is there enterprise-wide coordination, including with global counterparts? What effective governance practices can your firm apply to ensure that the firm is complying with applicable legal and regulatory requirements in the context of changes to the business; that appropriate measures have been taken to protect the firm from risk (e.g., through contractual provisions); and that there is consistency in decision-making?
Participants
Katrina A. Carroll, Jeremy Dresner, Michael W. Idol, Paul Khareyn, Brock Miller, David Stetson
Moderator
Panelists
The FATF Risk-based Approach Guidance for the Securities Sector was updated in October 2018. Additionally, regulators and bodies like the FATF around the world are talking about the need for…
The FATF Risk-based Approach Guidance for the Securities Sector was updated in October 2018. Additionally, regulators and bodies like the FATF around the world are talking about the need for innovation to manage financial crime risk. In this session will review the updated guidance and how technology can support compliance with the updated perspective and also cover how innovation can help manage risk effectively. We will focus on accurate detection and operational efficiency in the context of a risk based approach.
Participants
Andrew Davies
Speaker
4:15pm – 5:00pm
This discussion will focus on identifying and understanding the human trafficking threat from a financial perspective, including the potential exposures within the…
This discussion will focus on identifying and understanding the human trafficking threat from a financial perspective, including the potential exposures within the financial services industry, typologies and indicators of activity, and the role of compliance/AML in identifying the activity.
Participants
David Fein, Bryan Smith
Speakers
7:30am – 4:00pm
Registration Desk Hours
7:30am – 8:15am
Sponsored by Debevoise & Plimpton LLP
Sponsored by Debevoise & Plimpton LLP
8:15am – 8:45am
Participants
James Fiebelkorn, Michael Rufino
Moderator
Speaker
8:15am – 4:00pm
Sponsored by TransparINT, LLC
Sponsored by TransparINT, LLC
8:45am – 10:00am
Firms continue to invest in conduct risk programs, as culture and conduct issues have been at the root of several enforcement actions in recent years. This panel will examine how conduct risk lapses can contribute…
Firms continue to invest in conduct risk programs, as culture and conduct issues have been at the root of several enforcement actions in recent years. This panel will examine how conduct risk lapses can contribute to potential AML program deficiencies and will explore the useful linkages that can exist in the control frameworks for management of conduct and AML program risks.
Participants
Frederick Reynolds, Jodi L. Avergun, Michelle L. Neufeld, Daniel S. Ruzumna, Craig Timm
Moderator
Panelists
Hear how firms are adapting to new typologies, moving faster, recruiting, and using new technologies such as artificial intelligence and machine learning to detect, prevent, and report financial crime.
Hear how firms are adapting to new typologies, moving faster, recruiting, and using new technologies such as artificial intelligence and machine learning to detect, prevent, and report financial crime.
Participants
Logan Anderson, Joseph C. Del Broccolo III, April Dennis, Baha Sarana, Janice Stark
Moderator
Panelists
10:25am – 11:40am
As sanctions programs in the United States, United Kingdom, European Union, and other jurisdictions have increasingly diverged in certain areas, how does this affect firms’ abilities to manage global sanctions…
As sanctions programs in the United States, United Kingdom, European Union, and other jurisdictions have increasingly diverged in certain areas, how does this affect firms’ abilities to manage global sanctions compliance programs in light of differing or even conflicting obligations? This panel of industry experts and practitioners will discuss the areas of greatest divergence and the practical implications of each. 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 policy and control framework to ensure ongoing compliance.
Participants
Jonathan Thomas, Dorothy Bennett, Molly McLane, Aaron Wolfson
Moderator
Panelists
The explosion of big data and social networking has resulted in a deluge of information being made available to today’s…
The explosion of big data and social networking has resulted in a deluge of information being made available to today’s tech-savvy criminal, expanding the surface of the global threat landscape related to fraud and other financial crimes that fall within the detection and reporting requirements of AML programs. This panel will explore methods to expand and extend capacity, leverage “force multipliers” within your firm, and think ahead of the threats facing our industry.
Participants
Greg Ruppert, Jason Foye, Sean Friedly, Heather Jewell, Prashanth Mekala
Moderator
Panelists
The panel will dive into some of the important data trends within the small and micro-cap markets (OTC and Listed) including foreign securities, promotion and hot/volatile sectors. The session will…
The panel will dive into some of the important data trends within the small and micro-cap markets (OTC and Listed) including foreign securities, promotion and hot/volatile sectors. The session will also delve into applying LPS polices across markets and LPS information across the enterprise – investment banking, clearing, trade surveillance. Finally, we will discuss some of the issues regarding the concept of ‘Low Priced Securities’ and ‘Penny Stocks’ for foreign securities and provide some best practices for navigating international waters.
Participants
Matthew Fuchs, Timothy Casey, Adam Kusovitsky, Ellen A. Scanlon, Andrea Walser
Moderator
Panelists
11:40am – 12:55pm
Sponsored by Sidley Austin LLP
Conduct Risk: Embezzlement Fraud Case Study and the Anatomy of a Typical FBI Investigation.
Conduct Risk: Embezzlement Fraud Case Study and the Anatomy of a Typical FBI Investigation.
Sponsored by Sidley Austin LLP
Conduct Risk: Embezzlement Fraud Case Study and the Anatomy of a Typical FBI Investigation.
Participants
Christopher Delzotto
Speaker
1:00pm – 2:15pm
This panel of experts will review recent enforcement developments in the AML and financial crime space, including recent cases and…
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
John Davidson, Antonia Chion, Christopher Kelly, Matthew Levine, Sharon Cohen Levin, Leo R. Tsao
Moderator
Panelists
2:15pm – 2:40pm
Sponsored by Chainalysis Inc.
Sponsored by Chainalysis Inc.
2:40pm – 3:55pm
As the political and social debates on the legalization of cannabis continue, financial institutions face a conundrum: whether and how to tap emerging business opportunities while avoiding potential liability in…
As the political and social debates on the legalization of cannabis continue, financial institutions face a conundrum: whether and how to tap emerging business opportunities while avoiding potential liability in the courts of law and public opinion. Canada’s full legalization of cannabis in October 2018 added to the quagmire. This panel will explore the challenges of navigating these issues — down in the weeds! — including establishing a risk appetite and control framework.
Participants
Catherine (Cathy) A. LaFalce, Brent P. Cohen, Satish M. Kini, Adrienne Kosta, Brian Walsh
Moderator
Panelists
4:00pm – 4:00pm
Conference Adjourns
Venue
Grand Hyatt New York
109 East 42nd Street
New York, NY 10017
Experience spacious guestrooms, top dining and more at Grand Hyatt New York, centrally located in the heart of New York City, New York.
Sponsorship
Sponsorship Questions? Contact Diana Serri at 212.313.1258.
Diamond
Platinum
Gold
Silver
Sponsors
SIFMA's Strategic Partners
Accreditation
ACAMS Credits
This program has been approved for 10 ACAMS credits. Certificates will be distributed to attendees on site.
CLE Credits
Pending approval.
CPE Credits
Eligible for up to 13.4 CPE Credits.
Fields of Study:
Finance – Technical: 13.4 credits
Auditing – Technical: 1.5 credits
Program Level: Intermediate
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
Select keynote speakers will be open to the media. View SIFMA’s official press policy. Please contact Evan Grogan at 212.313.1134 for more information.
Media Registration
Contact Evan Grogan at 212.313.1134
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.