AMLAC & Fraud - IIR

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MAIN CONFERENCE DAY ONE MONDAY, OCTOBER 19, 2009 3:45-4:45 Incorporating Effective OFAC Compliance Strategies to Avoid Costly Fines • Analyzing the differences between administrative and criminal enforcement, and how that will impact your institution • Understanding how foreign entities can be held liable for OFAC violations if the transactions occur between anyone defined as a “US Person” or within the US • Methods for managing foreign account monitoring, takeovers and escalating issues of concern • Confirming that the company has provided appropriate training on the OFAC compliance requirements • Dealing with third-party payment processor risks • Ensuring effective controls are in place for holding frozen assets until they’re permitted to be released by OFAC Moderator: Steve Shine, Chief Regulatory Counsel, PRUDENTIAL FINANCIAL Dennis Wood, Assistant Director, OFFICE OF FOREIGN ASSETS CONTROL Judith C. Gruenbaum, Compliance Managing Director, SVP, JPMORGAN CHASE Steve Ganis, Of Counsel, MINTZ, LEVIN Irwin Nack, SVP, Head BSA/AML Compliance, Compliance Division for the Americas, BANK OF TOKYO-MITSUBISHI UFJ, LTD. 4:45 End of Day 1 Interested in Sponsoring or Exhibiting at this event? Sponsored Events and Table Top Exhibits: Are you looking for a creative way to reach top-level decision-makers? Why not consider sponsoring a luncheon, cocktail party or refreshment break? Maybe you’re looking for the perfect forum to showcase your products and services or an onsite communication center. For information on sponsorship opportunities please contact Andrew Borowiec at +1 646.895.7468 or aborowiec@iirusa.com. Exhibitions: Exhibit space will be available at this conference offering you the perfect forum to showcase your products and services. This is your chance to make valuable contacts and have your tabletop display serve as your communications center. Please call Ashley Chiplock at +1 646.895.7481 or achiplock@iirusa.com. MAIN CONFERENCE DAY Two TuesDAY, OCTOBER 20, 2009 8:30 Morning Coffee 9:00- 9:50 A For AML Officers & Departments Writing SARs that Aid Law Enforcement and Satisfy Regulatory Requirements • Balancing the need to provide law enforcement with relevant information vs. limiting defensive filings • Best practices for filing a SAR on multiple subjects or accounts related to the same suspicious activity • Guidance on whether SARs should be filed on regular fraudulent activity, based on industry exceptions • Managing 314(b) requests from within your corporate entity and from external institutions Moderator: Tim O’Neal Lorah, Executive Director, Global Head of AML, MORGAN STANLEY Panelists: Suzanne Williams, Manager of the BSA/AML Risk Section of the Division of Banking Supervision and Regulation, BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM Steve Ganis, Of Counsel, MINTZ, LEVIN Rachel Rojas, Supervisory Special Agent, FBI Tom Fleming, Asst. Director, Office of Compliance, Regulatory Policy and Programs Division, FINCEN B For Fraud Professionals & Departments Complying with Changing Regulations for MSBs • Understanding the potential changes defined in FinCEN‘s amendments to the MSB definition • Identifying effective, lower-cost agent training solutions for MSB sales agents • Strategies for banks to communicate their expectations on due diligence, agent training & supervision, and transaction monitoring and reporting • Developing an appropriate operational structure that complies with regulations while maintaining profitable relationships with MSBs David Landsman, Executive Director, NATIONAL MONEY TRANSFER ASSOCIATION Juan Llanos, Chief Compliance Officer, UNIDOS FINANCIAL SERVICES Kevin Favreau, VP, Global AML Compliance, WESTERN UNION 4 | TO REGISTER: Call +1 888.670.8200 or +1 941.951.7885 ■ Email: register@iirusa.com
9:50- 10:40 For AML Officers & Departments Implementing Proper Compliance Procedures to Prevent Money Laundering and Other Financial Crimes from Occurring at Your Gaming Venue • Understanding the expectations of the DOJ and the IRS relative to a Title 31 program exam • Steps for identifying internal and external threats for fraud and misconduct • Methods for managing regulations (BSA, OFAC, AML) in an era of reduced revenue and increased scrutiny of institutions • Best practices for training casino staff to implement proper KYC protocols and identify potentially illegal or fraudulent behavior Karen L. Brown-Wichman, Director of Internal Audit, ACEP, LLC Donna Mayer, BSA Technical Advisor, IRS 10:40 Morning Break 11:15- 12:00 12:00- 1:30 A Deploying Real-World Tactics for Managing AML Regulations for Insurance Firms • Understanding beneficial ownership and strategies for OFAC name checking • Tools for flagging ‘suspicious’ or abnormal activity on an account • Tactics for working with third-parties that handle KYC due diligence to satisfy compliance requirements and protect your institution • Best practices for eliciting and verifying information from customers Mary Rand, AVP, Anti-Money Laundering, AXA EQUITABLE Albert DeLeon, Head of Compliance Advisory, Monitoring & Reporting-OCNA, ZURICH FINANCIAL SERVICES Stephanie Mitchell Hoyte, Audit Manager, AIG Internal Audit Division, AIG (invited) Roundtable Discussion – Luncheon Sign up at the Registration Desk to take part in these informal, peer-led discussion groups where you can share your challenges, ideas and solutions with your peers. Space is limited to 10 participants per table, so sign up early to reserve your place! ❶ Broker-Dealers ❷ Insurance Firms Mary Rand, AXA Equitable ❸ AML& Fraud Department Operations for Smaller Institutions Chuck Silverman, Beneficial Bank ❹ Mutual Funds Jason Vazquez, Deutsche Asset Management B For Fraud Professionals & Departments Managing the Compliance Requirements Under the Anticipated “Stop Tax Haven Abuse Act” and other Rulings Affecting Dealings with Offshore Financial Centers • Updates on the scope and depth of the new provisions of the bill • Determining ownership and beneficiaries of PFICs/shell companies to comply with new tax reporting requirements • Strategies for conducting due diligence on foreign entities that will be treated as domestic companies for income tax purposes • Identifying steps required to provide the adequate level of transparency for regulators Jason Vazquez, Head of AML Compliance, DEUTSCHE ASSET MANAGEMENT Strategies for Managing the Detection, Analysis and Development of Technology-Based Fraud • Designing an appropriate platform for managing and technology red flags & other indicators of illicit activity, based on the FTC’s “red flags rule” • Techniques for identifying inside jobs and intrusions • Methods for defending against internal and external security threats, including cyber-attacks, inside jobs, and other account intrusions • Strategies for managing e-money transactions to prevent fraud and ensure proper monitoring • Steps for quickly detecting and identifying market manipulation activity Alma Angotti, Senior Counsel, FINRA Kevin Taylor, VP, Compliance, PERSHING ADVISOR SOLUTIONS LLC Tammy Hurst, SVP, Corporate Security Investigative Services – Domestic, BANK OF AMERICA ❺ MSBs Juan Llanos, Unidos Financial Services ❻ Large Institutions ❼ FCPA Compliance Issues ❽ Prepaid Issuers & Providers Jeff Ross, Green Dot Corporation MAIN CONFERENCE DAY Two TuesDAY, OCTOBER 20, 2009 © 2009 Institute for International Research, Inc. All rights reserved 1:30- 2:20 Procedures for Regulatory Compliance for Prepaid Cards • Strategies for implementing industry-driven best practices for prepaid cards, including the NBPCA Recommended Practices Document • Identifying proper agent training procedures to ensure compliance with AML regulations and anti-fraud best practices • Understanding how the latest regulatory changes, including the CARD Act of 2009, may affect money laundering activity and fraud prevention efforts, including cost and enforcement trends Suzanne Williams, Manager of the BSA/AML Risk Section of the Division of Banking Supervision and Regulation, BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM Jeff Ross, Chief Compliance Officer, GREEN DOT CORPORATION 2:20 Afternoon Break Leveraging the Synergies between Anti-Fraud and Anti-Money Laundering: The Challenges and Opportunities • Assessing the current institutional landscape of merged AML/Fraud units in the US and abroad • Identifying cost savings and increasing transparency via leveraging IT solutions • Managing the challenges and/or limitations of a single system to handle disparate AML/fraud issues • Analyzing the benefits, challenges and opportunities of merging people, processes and procedures to handle both AML and fraud activities Zoe Lester, St. George Group AML/CTF Compliance Officer, Financial Crimes Management, WESTPAC BANKING CORP. Grady Williams, VP, Chief Compliance Officer, NATIONWIDE BANK www.amlac.com | 5
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AMLAC & Fraud - IIR

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