AMLAC & Fraud - IIR

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19th Annual AMLAC & Fraud Anti-Money Laundering, Audit, Compliance and Fraud Forum Welcome to the 19th Annual AMLAC & Fraud Forum! Bernie Madoff. Allan Stanford. Angelo Mozilo. These names alone highlight the breadth, depth and notoriety of financial fraudulent activity that has occurred over the past few years in the US alone. With the increasing visibility of financial crime, institutions must revisit and revise their anti-fraud and AML practices to safeguard their institutions, their customers, and satisfy more stringent regulations. I invite you to join me and more than 150 key compliance, risk management and fraud professionals at the 19th Annual AMLAC & Fraud Forum to find the most effective solutions for protecting your institution from illicit activity while complying with AML/BSA regulations, the USA PATRIOT ACT, and various industry-specific regulations. The AMLAC & Fraud Forum has been restructured to provide you with unparalleled access to key regulatory officials, industry practice leaders, and law enforcement professionals to help you strengthen your compliance programs and protect your institution from future fraudulent activity. Here are some of the key law enforcement and regulatory agencies that are scheduled to provide their insight, knowledge, and real-world case studies: US Department of Justice Internal Revenue Service Federal Bureau of Investigation Internal Revenue Service CI Financial Crimes Enforcement Network Office of the Comptroller of the Currency Federal Reserve Board of Governors Office of Foreign Assets Control FINRA Securities and Exchange Commission Perhaps most importantly, the AMLAC & Fraud Forum is your place to collaborate with your industry peers, not only in the sessions themselves, but through our Industry Roundtable Sessions, and in our interactive, in-depth workshops. We have also introduced our “Town Hall” meeting, which is designed to allow participants to raise and discuss issues that are most important to them, rather than issues deemed important by speakers or the conference organizer. It is imperative to seek out new strategies and solutions lest you suffer financial loss from criminal activity, fines for non-compliance, and significant damage to your firm’s reputation by letting illicit activity go unchecked. Reserve your place today to connect with more than 150 leaders from the world of compliance and security. I look forward to seeing you in October! Sincerely, Who Should Attend THE AMLAC & Fraud Forum? • Broker/Dealers and Securities Firms • Global, Private, and Foreign Banks • Life Insurance Carriers • Mutual Funds and Investment Companies • Money Service Businesses • Hedge Funds and their Administrators • Investment Managers • Investment Advisors • Trust Companies and Savings Banks • Private Equity Firms • Commodity Dealers and Exchanges • Credit Card Companies • Law Firms • Surveillance and Data Base Specialists • Software Providers • Consultants and Training Companies • Accountants and Auditors • Federal Government Agents and Analysts • Federal and State Regulators • Enforcement Agencies • AML and Fraud Departments Earn up to 19 CPE CREDITS This is a Group-live event. Courses are intermediate to advanced level, no prerequisites required. This event qualifies for up to 15 CAMS credits Keith Kirkpatrick Executive Director The 19th Annual AMLAC & Fraud Forum For more information visit www.ACAMS.org or contact us at +1 786.871.3073. Why Attend the AMLAC & FRAUD FORUM? • Attend the most relevant sessions for you, broken into AML and anti-fraud tracks • Hear the latest regulatory updates and how they are applied to prevent your institution from being fined millions for noncompliance • Get practical training from compliance officers, fraud professionals, regulators and law enforcement through our hands-on workshops • Share your experiences and insights with your peers from around the world during dedicated networking and relationship building time “This was a great conference. The program was spot on.” – William Voorhees, BSA Compliance Manager, Silicon Valley Bank 2 | TO REGISTER: Call +1 888.670.8200 or +1 941.951.7885 ■ Email: register@iirusa.com
PRE-CONFERENCE WORKSHOPS MONDAY, OCTOBER 19, 2009 8:00 Workshop Registration/Morning Coffee 9:00 Workshops Begin 12:00 Lunch for Workshop Attendees Only A Strengthening Customer Due Diligence Processes Amid Increased Regulatory and Law Enforcement Scrutiny 9:00-12:00 Choose one B Global Strategies for AML Compliance and Fraud Prevention In this workshop, you’ll hear from experienced AML, fraud and security experts, who will provide strategies for creating a cost-effective customer due diligence program, utilizing a combination of fee-based and free resources. • Analyzing techniques for conducting effective customer due diligence • Interviewing methods for identifying red flags that indicate information may not be legitimate or truthful • Identifying electronic and physical resources used by criminals to lie or evade detection during the due diligence process • The operational impact of, and liability associated with, outsourcing due diligence functions • Incorporating proper due diligence strategies for investigating fraudulent activity to find the account’s beneficial owner and source of wealth • Best practices for ensuring efficient and lawful information sharing between departments and institutions under Section 314(b) of the USA PATRIOT ACT Leaders: John Wagner, Director, BSA and AML Compliance, OFFICE OF THE COMPTROLLER OF THE CURRENCY Linda Busby, AML Officer, RAYMOND JAMES FINANCIAL Kevin Taylor, VP, Compliance, PERSHING ADVISOR SOLUTIONS LLC For institutions with customers located around the world, the importance of understanding money laundering regulations – as well as common transactions and business practices – in different regions is of paramount importance. In this workshop, participants will hear an overview of the major regulatory and fraud activity occurring in each region. Then, small roundtable groups will be set up so that each region can be discussed in an informal setting conducive to best-practice information sharing and exchange. Table 1: Canada Table 2: UK & Western Europe Table 3: Russia & Eastern Europe Table 4: Africa Table 5: Asia/Pacific Table 6: Latin America/Caribbean Leaders: Zoe Lester, St. George Group AML/CTF Compliance Officer, Financial Crimes Management, WESTPAC BANKING CORP. Stephanie Lowy, SVP, Global AML Risk Management and Policy Director, CITI PRIVATE BANK Erik Wilgenhof Plante, Senior Compliance Officer, COMMERZBANK AG Stella Aku Attakpah, AML/CFT Consultant, IAEA MAIN CONFERENCE DAY ONE MONDAY, OCTOBER 19, 2009 © 2009 Institute for International Research, Inc. All rights reserved 12:00 Registration for Main Conference 1:00-1:15 Opening Remarks from the Conference Chairs 1:15-2:15 Understanding the Latest Law Enforcement Initiatives for Identifying Trends and Preventing Fraud The key to stopping financial crime often lies with understanding the environmental trends at large which can create a fertile ground for criminal activity. In this session, you’ll hear about the latest trends in AML, fraud and other criminal activity from law enforcement professionals. You’ll also gain insight into how enforcement agencies are working with industry professionals to effectively identify financial crime across a variety of institutions. Finally, the panel will discuss the best ways for you to identify and deter crime within your organization, based on the most current trends and data. John Caruso, Managing Director, Head of AML Compliance, DEUTSCHE BANK Lester Joseph, Principal Deputy Chief- Asset Forfeiture & Money Laundering, US DEPARTMENT OF JUSTICE Rachel Rojas, Supervisory Special Agent, FBI Tom Fleming, Asst. Director, Office of Compliance, Regulatory Policy and Programs Division, FINCEN 2:15-3:15 REGULATOR INSIGHTS — Avoid Penalties and Optimize Your Firm’s Defenses by Complying with the Latest AML and Fraud Regulations • Dissecting the latest trends with enforcement actions, and what they mean for institutional compliance departments • Updates on Red Flag Rule compliance strategies for creditors and financial institutions • Methods for implementing the latest FinCEN guidance on the CTR reporting exemption for depository institutions • Clarification on institution’s obligations under FINRA’s Notice to Members 09-05 governing unregistered resales of restricted securities • Strategies for AML compliance with derivatives and Forex exchange transactions • Analysis and updates on the impact of the Fraud Enforcement & Recovery Act of 2009 on AML and fraud prevention • AML compliance for managing wash sales, cross trades and market domination Moderator: Betty Santangelo, Partner, SCHULTE, ROTH & ZABEL John Wagner, Director, BSA and AML Compliance, OFFICE OF THE COMPTROLLER OF THE CURRENCY Michael Rufino, SVP, Member Regulation, Sales Practice Review, FINRA Alan Sorcher, Sr. Advisor for Cross-Sector Regulatory Strategies, FINCEN 3:15-3:45 Networking Break www.amlac.com | 3
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