AMLAC & Fraud - IIR

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MAIN CONFERENCE DAY two (cont.) Tuesday, OCTOBER 20, 2009 2:50-3:45 Managing Compliance Requirements for Clearing and Introducing Firms in an Era of Increased Scrutiny and Reduced Resources Key Takeaways: • Understanding the regulatory requirements and CIP obligations for each firm • Strategies for ensuring BSA compliance when a US broker-dealer establishes a clearing relationship with a foreign financial institution • Techniques and questions to ask when relying on a Registered Investment Advisor to handle CIP duties • Managing OFAC compliance obligations to avoid costly penalties Panelists: Jeffrey D. Weiss, Managing Director, Anti-Money Laundering, KNIGHT EQUITY MARKETS, L.P. Jeff Horowitz, Managing Director, Chief AML Officer, PERSHING LLC Elizabeth Paige Baumann, Deputy AML, FIDELITY INVESTMENTS Michael Rufino, SVP, Member Regulation, Sales Practice Review, FINRA MAIN CONFERENCE DAY three Wednesday, OCTOBER 21, 2009 8:15-8:45 Morning Coffee 8:45-9:45 Q&A with the Department of Justice In February 2009, UBS entered into a historic deferred prosecution agreement with the US government in which UBS admitted to helping U.S. taxpayers hide accounts from the IRS. As part of the DPA, UBS agreed to provide the U.S. government with the identities of, and account information for, certain United States customers of UBS’s cross-border business. This case is likely to have significant repercussions for institutions with private client groups, especially with respect to privacy, confidentiality, tax evasion and money laundering statutes, and could mark a significant change in the way “private accounts” are administered. Although the prosecutors can’t discuss the specifics of the UBS case, they will be on hand to provide details on the types of strategies the Department of Justice is employing to prosecute cross-border tax evasion and money laundering activity. Participants also will get the opportunity to directly address their questions to the presenters. Jeffrey A. Neiman, AUSA Kevin M. Downing, Senior Litigation Consultant 9:45-10:45 Industry Roundtable: Techniques for Customizing your AML & Fraud Program Based on Your Business Model and Recent Enforcement Actions and Fines Institutions have realized that the most effective anti-money laundering programs and anti-fraud programs are specifically designed to manage the unique risks and customer types within a specific institution. In this discussion session, participants will be able to question a panel of bank and broker/dealer industry compliance and fraud professionals on the strategies they’ve used to develop a robust and compliant AML program. Banks: Judith C. Gruenbaum, Compliance Managing Director, SVP, JPMORGAN CHASE Chuck Silverman, AML Program Director, BENEFICIAL BANK Emily Borowski, AVP, Risk & Compliance, NOTRE DAME FEDERAL CREDIT UNION Broker/Dealers: Jeffrey D. Weiss, Managing Director, AML, KNIGHT EQUITY MARKETS, L.P. Katherine M. Sikora Nelson, Global Compliance - AML, Chair, Broker-Dealer AML Committee, BANK OF NEW YORK MELLON 3:45-4:45 Understanding the Latest Financial Crime Trends to Better Protect Your Institution Key Takeaways: • Hear real-world data from recent case studies describing the techniques used to perpetrate fraud • Analyze the clues or marks indicating transactional anomalies or behavioral patterns that could have identified illicit activity before it occurred • Techniques for setting your security and monitoring systems to ‘red flag’ suspicious activity • Strategies for properly setting up accounts, surveillance programs, and reporting protocols to aid in early fraud detection Panelists: Rachel Rojas, Supervisory Special Agent, FBI David Chaves, Supervisory Special Agent, FBI 4:45 End of Day 2 10:45-11:15 Networking Break 11:15-12:15 Identifying Solutions for Emerging TOWN HALL AML & Fraud Issues MEETING In this interactive discussion, panelists and the audience will have the opportunity to address outstanding issues that are expected to receive significant attention from regulators and law TOWN enforcement HALL over the coming months. The moderator will open the discussion by raising MEETING topical issues of the day, and then ask the facilitators to provide their insights. Participants will be asked to bring their questions, issues and concerns, and are encouraged to seek out their peers for suggestions and solutions. • Strategies for dealing with examination requests for granular information • Dealing with new regulations relating to cross-border ACH transfers • Understanding changes in regulatory jurisdiction and how it affects compliance structures and strategy • The impact of Internet gaming regulations on due diligence requirements for financial institutions • New regulations covering senior issues, unregistered offerings, business continuity planning, and internal controls against potential business corruption (including FCPA issues) • Transition to the new regulatory structure and environment in a post-Madoff world Facilitators: Jack Sonnenschein, VP, Enterprise Compliance Risk Management, AMERICAN EXPRESS Linda Busby, AML Officer, RAYMOND JAMES FINANCIAL Meg Zucker, Executive Director, MORGAN STANLEY Irwin Nack, SVP, Head BSA/AML Compliance, Compliance Division for the Americas, BANK OF TOKYO-MITSUBISHI UFJ, LTD Kevin Favreau, VP, Global AML Compliance, WESTERN UNION 12:15 End of Main Conference 6 | TO REGISTER: Call +1 888.670.8200 or +1 941.951.7885 ■ Email: register@iirusa.com
Post-CONFERENCE Workshop Wednesday, OCTOBER 21, 2009 Administrative Details © 2009 Institute for International Research, Inc. All rights reserved 12:15-1:15 Lunch 12:15pm-4:00pm Tactics for Developing an Interactive Fraud & Risk Assessment Program The development of an effective risk assessment program is largely dependent upon the thorough understanding of three specific aspects of compliance: the specific risk factors affecting your firm, the regulations specific to your line(s) of business, and the expectations of your regulators. In this interactive workshop session, you’ll hear from compliance professionals, auditors and regulators on the best practices for setting up an appropriate risk matrix. The workshop leaders and participants will then collaborate on a comprehensive AML & Fraud Prevention Program Document, which can be used as a best-practices guide for developing a risk assessment strategy. After the workshop, participants will be given a USER ID and Password to access the document which they will be able to download and customize to their particular business model. Leaders: David MacNair, Director, AML & Fraud Department, BARCLAYS CAPITAL Jack Sonnenschein, VP Enterprise Compliance Risk Management, AMERICAN EXPRESS Emily Borowski, AVP, Risk & Compliance, NOTRE DAME FEDERAL CREDIT UNION Grady Williams, VP, Chief Compliance Officer, NATIONWIDE BANK Russell Cronan, Sr., National Bank Examiner, BSA/AML Specialist, Compliance Policy, OCC 4:00 Workshop Concludes Dates and Venue October 19-21, 2009 New York Marriott Marquis 1535 Broadway, New York, NY 10036 Accommodations: A block of rooms will be held for a limited period of time at the New York Marriott Marquis. All hotel bookings must be made through our travel partner at the etouches internet booking site. Please visit www.etouches.com/iir to make your reservations. If you do not have web access, or need additional assistance, please call etouches at (800) 516.4265 or +1 (203) 431.8950. You can also send them an email at conf@etouches.com or fax them at +1 (203) 431.9305. The hotel will not accept individual calls for room reservations at the IIR negotiated group rate. DISCOUNTed CONFERENCE AIRFARE: For discount information on JetBlue flights please visit: www.iirusa.com/AMLAC/amlac-venue.xml Any disabled individual desiring an auxiliary aid for this conference should notify IIR at least 3 weeks prior to the conference in writing by faxing +1 (212) 661.6045. Complaint Resolution Policy: For more information regarding administrative policies such as complaint and refund, please contact our offices at (888) 670.8200 or +1 (941) 951.7885. CPE Sponsors Institute for International Research is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional 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 addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue, Nashville, TN 37219-2417. Web site: www.nasba.org. For further information regarding IIR’s financial hardship policy, please contact Elizabeth Birnbaum at +1 (646) 895.7456 or via email at ebirnbaum@iirusa.com. Easy Ways to 3Register Register Before 7/17/09 Call: Email: Web: AMLAC Before 8/21/09 +1 888.670.8200 or +1 941.951.7885 register@iirusa.com www.amlac.com Before 9/25/09 After 9/25/09 Conference Only $2,095 $2,295 $2,395 $2,495 Conference + 1 Workshop $2,495 $2,695 $2,795 $2,895 Conference + 2 Workshops $2,695 $2,895 $2,995 $3,095 Special rates for MSB/Small Institution & Government* Conference Only $1,466 $1,607 $1,677 $1,747 Conference + 1 Workshop $1,747 $1,887 $1,957 $2,027 Conference + 2 Workshops $1,887 $2,027 $2,097 $2,167 *Government Discounts: Must work for a government agency or regulatory authority, subject to IIR approval. No two discounts may be combined. Small Institutions/MSBs. Must work for a licensed money services business or at an institution with less than $500 million in assets. Subject to IIR approval Group Discounts Available: Please contact Dan Harju at +1 646.895.7439 for details. No two discounts can be combined. Group Rates available for Banks & Financial Institution Teams - Register 4 or more people at the same time to each receive 25% off of standard pricing. Can not be combined with any other discounts must register by phone. Not available to web registrations. Fee: The standard fee for attending IIR’s AMLAC and Fraud Forum is outlined on the registration form. This includes the luncheon and refreshments, and the conference documentation and materials submitted by the speakers. You may enclose payment with your registration or we will send an invoice. Payment is due within 30 days of registering. If registering within 30 days of the event, payment is due immediately. Payments can be made by check, Visa, MasterCard, Discover, Diners Club or American Express. Please make all checks payable to the “Institute for International Research, Inc.” and write the name of the delegate(s) on the face of the check, as well as our reference code: U2402. If payment has not been received prior to registration the morning of the conference, a credit card hold will be required. Cancellation Policy: If you need to make any changes or have any questions, please feel free to contact us via email at register@iirusa.com. Cancellations must be in writing and must be received by IIR prior to 10 business days before the start of the event. Upon receipt of a timely cancellation notice, IIR will issue a credit voucher for the full amount of your payment, which may be applied towards registration fees at any future IIR event held within 6 months after issuance (the “Expiration Date”). All credit vouchers shall automatically expire on the Expiration Date and shall thereupon become void. In lieu of issuance of a credit voucher, at your request, IIR will issue a refund less a $795 processing fee per registration. Registrants are advised that no credit vouchers or refunds will be issued for cancellations received less than ten business days prior to start of the event, including cancellations due to weather or other causes beyond the Registrant’s control. IIR therefore recommends that registrants allow for unexpected delays in making travel plans. Substitutions are welcome at any time. If for any reason IIR decides to cancel this conference, IIR accepts no responsibility for covering airfare, hotel or other costs incurred by registrants, including delegates, sponsors, speakers and guests. Documentation Order: If you are unable to attend the program, or would simply like to order additional sets of documentation for your colleagues, they are available for $395 per set, including taxes, postage and shipping in the U.S. Please fill out the order form on the back of the brochure. The documentation is available two weeks after the conference takes place. CREDIT CARD PAYMENT ONLY. www.amlac.com U2402 | 7
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AMLAC & Fraud - IIR

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