AMLAC & Fraud - IIR
AMLAC & Fraud - IIR
AMLAC & Fraud - IIR
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9:50-<br />
10:40<br />
For AML Officers & Departments<br />
Implementing Proper Compliance Procedures to<br />
Prevent Money Laundering and Other Financial<br />
Crimes from Occurring at Your Gaming Venue<br />
• Understanding the expectations of the DOJ and the IRS relative to a Title<br />
31 program exam<br />
• Steps for identifying internal and external threats for fraud and<br />
misconduct<br />
• Methods for managing regulations (BSA, OFAC, AML) in an era of reduced<br />
revenue and increased scrutiny of institutions<br />
• Best practices for training casino staff to implement proper KYC protocols<br />
and identify potentially illegal or fraudulent behavior<br />
Karen L. Brown-Wichman, Director of Internal Audit, ACEP, LLC<br />
Donna Mayer, BSA Technical Advisor, IRS<br />
10:40 Morning Break<br />
11:15-<br />
12:00<br />
12:00-<br />
1:30<br />
A<br />
Deploying Real-World Tactics for Managing AML<br />
Regulations for Insurance Firms<br />
• Understanding beneficial ownership and strategies for OFAC<br />
name checking<br />
• Tools for flagging ‘suspicious’ or abnormal activity on an account<br />
• Tactics for working with third-parties that handle KYC due diligence to<br />
satisfy compliance requirements and protect your institution<br />
• Best practices for eliciting and verifying information from customers<br />
Mary Rand, AVP, Anti-Money Laundering, AXA EQUITABLE<br />
Albert DeLeon, Head of Compliance Advisory, Monitoring & Reporting-OCNA,<br />
ZURICH FINANCIAL SERVICES<br />
Stephanie Mitchell Hoyte, Audit Manager, AIG Internal Audit Division,<br />
AIG (invited)<br />
Roundtable Discussion – Luncheon<br />
Sign up at the Registration Desk to take part in these informal, peer-led discussion groups where you can<br />
share your challenges, ideas and solutions with your peers. Space is limited to 10 participants per table,<br />
so sign up early to reserve your place!<br />
❶ Broker-Dealers<br />
❷ Insurance Firms<br />
Mary Rand, AXA Equitable<br />
❸ AML& <strong>Fraud</strong> Department Operations for Smaller<br />
Institutions<br />
Chuck Silverman, Beneficial Bank<br />
❹ Mutual Funds<br />
Jason Vazquez, Deutsche Asset Management<br />
B<br />
For <strong>Fraud</strong> Professionals &<br />
Departments<br />
Managing the Compliance Requirements Under the<br />
Anticipated “Stop Tax Haven Abuse Act” and other<br />
Rulings Affecting Dealings with Offshore Financial<br />
Centers<br />
• Updates on the scope and depth of the new provisions of the bill<br />
• Determining ownership and beneficiaries of PFICs/shell companies to<br />
comply with new tax reporting requirements<br />
• Strategies for conducting due diligence on foreign entities that will be<br />
treated as domestic companies for income tax purposes<br />
• Identifying steps required to provide the adequate level of transparency<br />
for regulators<br />
Jason Vazquez, Head of AML Compliance, DEUTSCHE ASSET<br />
MANAGEMENT<br />
Strategies for Managing the Detection, Analysis and<br />
Development of Technology-Based <strong>Fraud</strong><br />
• Designing an appropriate platform for managing and technology red flags<br />
& other indicators of illicit activity, based on the FTC’s “red flags rule”<br />
• Techniques for identifying inside jobs and intrusions<br />
• Methods for defending against internal and external security threats,<br />
including cyber-attacks, inside jobs, and other account intrusions<br />
• Strategies for managing e-money transactions to prevent fraud and<br />
ensure proper monitoring<br />
• Steps for quickly detecting and identifying market manipulation activity<br />
Alma Angotti, Senior Counsel, FINRA<br />
Kevin Taylor, VP, Compliance, PERSHING ADVISOR SOLUTIONS LLC<br />
Tammy Hurst, SVP, Corporate Security Investigative Services – Domestic,<br />
BANK OF AMERICA<br />
❺ MSBs<br />
Juan Llanos, Unidos<br />
Financial Services<br />
❻ Large Institutions<br />
❼ FCPA Compliance Issues<br />
❽ Prepaid Issuers & Providers<br />
Jeff Ross, Green Dot<br />
Corporation<br />
MAIN CONFERENCE DAY Two<br />
TuesDAY, OCTOBER 20, 2009<br />
© 2009 Institute for International Research, Inc. All rights reserved<br />
1:30-<br />
2:20<br />
Procedures for Regulatory Compliance for<br />
Prepaid Cards<br />
• Strategies for implementing industry-driven best practices for prepaid<br />
cards, including the NBPCA Recommended Practices Document<br />
• Identifying proper agent training procedures to ensure compliance with<br />
AML regulations and anti-fraud best practices<br />
• Understanding how the latest regulatory changes, including the CARD<br />
Act of 2009, may affect money laundering activity and fraud prevention<br />
efforts, including cost and enforcement trends<br />
Suzanne Williams, Manager of the BSA/AML Risk Section of the Division of<br />
Banking Supervision and Regulation, BOARD OF GOVERNORS OF<br />
THE FEDERAL RESERVE SYSTEM<br />
Jeff Ross, Chief Compliance Officer, GREEN DOT CORPORATION<br />
2:20 Afternoon Break<br />
Leveraging the Synergies between Anti-<strong>Fraud</strong><br />
and Anti-Money Laundering: The Challenges and<br />
Opportunities<br />
• Assessing the current institutional landscape of merged AML/<strong>Fraud</strong> units<br />
in the US and abroad<br />
• Identifying cost savings and increasing transparency via leveraging IT<br />
solutions<br />
• Managing the challenges and/or limitations of a single system to handle<br />
disparate AML/fraud issues<br />
• Analyzing the benefits, challenges and opportunities of merging people,<br />
processes and procedures to handle both AML and fraud activities<br />
Zoe Lester, St. George Group AML/CTF Compliance Officer, Financial Crimes<br />
Management, WESTPAC BANKING CORP.<br />
Grady Williams, VP, Chief Compliance Officer, NATIONWIDE BANK<br />
www.amlac.com<br />
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