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

Date

February 22 - February 23, 2021

Location

Virtual

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.

Program

11:45am – 12:45pm

Virtual Exhibit Hall

12:45pm – 12:55pm

Participants

Ira D. Hammerman

Speaker

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

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

Sarah D. Green

Global Head of Financial Crimes Officer

Vanguard Group, Inc.

Sarah D. Green’s Biography

Speaker

Greg Ruppert

Executive Vice President, National Cause and Financial Crimes Detection Programs

FINRA

Greg Ruppert’s Biography

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

Justin Mendelsohn

Deputy Head of AML and Sanctions

Brown Brothers Harriman & Co.

Justin Mendelsohn’s Biography

Panelists

Logan Anderson

Director, AML Strategy & Investigations

TD Ameritrade, Inc.

Logan Anderson’s Biography

Timothy Casey

Financial Crimes Compliance

Goldman, Sachs & Co.

Timothy Casey’s Biography

Nicole de Bello

Anti-Money Laundering Counsel, Executive Director

Morgan Stanley

Nicole de Bello’s Biography

Sarah Runge

Global Head of Financial Crimes Compliance Regulatory Strategy

Credit Suisse

Sarah Runge’s Biography

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

James Fiebelkorn

Vice President, Anti-Money Laundering & Sanctions Officer

Charles Schwab

James Fiebelkorn’s Biography

Panelists

Brooke Hickman

Director, Vulnerable Adults and Seniors Team (VAST)

FINRA

Brooke Hickman’s Biography

Thor Nelson

Director of AML and Anti-Fraud

Ameriprise Financial, Inc.

Thor Nelson’s Biography

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

Margaret S. Edmunds

Senior Vice President, Director of AML and Corporate Compliance

Baird

Margaret S. Edmunds’s Biography

Panelists

Eric Kaplan

Managing Director, Americas Legal and Compliance Department

Mizuho

Eric Kaplan’s Biography

Shakeema Kimble

Head of Customer and Enhanced Due Diligence

RBC Capital Markets, LLC

Shakeema Kimble’s Biography

Rockwell Reid

Senior Vice President, AML Compliance Risk Management – Banking, Capital Markets and Advisory

Citi

Rockwell Reid’s Biography

Andrea Walser

Managing Director, Global Financial Crimes Compliance (GFCC)

Bank of America Merrill Lynch

Andrea Walser’s Biography

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

Catherine (Cathy) A. LaFalce

Managing Director and Global Head of AML Compliance Risk Management, Markets and Banking

Citi

Catherine (Cathy) A. LaFalce’s Biography

Panelists

Hilary De Lorenzo

Senior Vice President, Corporate Risk, Compliance

Wells Fargo

Hilary De Lorenzo’s Biography

Xiling Qian

Director

Barclays

Xiling Qian’s Biography

Kate Valleau

Vice President, Internal Audit

Raymond James Financial, Inc.

Kate Valleau’s Biography

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

Matthew A. Thoresen

Supervisory Special Agent

Federal Bureau of Investigation (FBI)

Matthew A. Thoresen’s Biography

4:10pm – 5:10pm

Virtual Exhibit Hall

12:00pm – 12:50pm

Virtual Exhibit Hall

12:50pm – 12:55pm

Participants

Ira D. Hammerman

Speaker

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

12:55pm – 1:30pm

Participants

Andrea Sharrin, Kenneth A. Blanco

Moderator

Andrea Sharrin

Managing Director, Head of Financial Crime Compliance for the Americas and Global IB

Barclays

Andrea Sharrin’s Biography

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

Elizabeth “Paige” Baumann

Senior Vice President, Chief Anti-Money Laundering Officer

Fidelity Investments

Elizabeth “Paige” Baumann’s Biography

Panelists

John Davidson

Senior Vice President & Global Head of Anti-Money Laundering

E*Trade Financial

John Davidson’s Biography

Kara Suro

Vice President, Fraud Risk Management

Charles Schwab

Kara Suro’s Biography

Jeffrey Weiss

Head of Financial Crime

Robinhood

Jeffrey Weiss’s Biography

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

Anna Manning

Director, BSA/AML Officer

Raymond James & Associates

Anna Manning’s Biography

Panelists

Jennifer Silliman

Group Supervisor, Homeland Security Investigations

U.S. Department of Homeland Security

Jennifer Silliman’s Biography

Madelyn Yarbenet

Head of Financial Crime Forensics

Goldman Sachs

Madelyn Yarbenet’s Biography

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

Adrienne Kosta

Vice President, Anti-Money Laundering Officer

NFS, LLC and Fidelity Forex, Fidelity Investments

Adrienne Kosta’s Biography

Panelists

Patrick Leary

Senior Vice President, Financial Crimes Risk Management

Wells Fargo

Patrick Leary’s Biography

Jeremy Warren

Head of CIB Global Financial Crimes Compliance

J.P. Morgan Chase & Co.

Jeremy Warren’s Biography

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

Justyna Gudzowska

Executive Director, Legal and Compliance

Morgan Stanley

Justyna Gudzowska’s Biography

David Stetson

Vice President and Associate General Counsel

Goldman, Sachs & Co.

David Stetson’s Biography

Scott Willis

SVP, Deputy Chief AML Officer

Raymond James & Associates

Scott Willis’s Biography

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

Katrina A. Carroll

Executive Vice President and Chief Anti-Money Laundering Officer

LPL Financial LLC

Katrina A. Carroll’s Biography

Panelists

Jason Foye

Director - AML Investigative Unit

FINRA

Jason Foye’s Biography

Akrivi Mazarakis

Branch Chief, Office of Chief Counsel, Office of Compliance Inspections and Examinations (OCIE)

U.S. Securities and Exchange Commission

Akrivi Mazarakis’s Biography

Dmitriy Vilenskiy

Sr. Investigator, Division of Enforcement

Commodity Futures Trading Commission (CFTC)

Dmitriy Vilenskiy’s Biography

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.

Picture of venue

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.