HomeWebcast2nd Annual Anti-Money Laundering LIVE Teleconference: New Frontiers & the Threats putting your Financial Institution at Risk Second Annual Event – July 2007
 CLE

2nd Annual Anti-Money Laundering LIVE Teleconference: New Frontiers & the Threats putting your Financial Institution at Risk Second Annual Event – July 2007

Live Webcast Date: Wednesday, July 25, 2007 from 1:00 pm to 3:00 pm (ET)
Legal (CLE)Recording
Recording for this event has expired.

FinJoin us for this Knowledge Group Webinar. ancial institutions of all sizes are increasingly becoming the principal targets of sophisticated criminals money laundering operations. Criminals are deploying the latest technology to exploit inherent vulnerabilities at financial institutions. The Knowledge Congress has assembled a panel of prominent experts to help identify & combat the latest Money Laundering activities targeting your financial institution during this live, two-hour teleconference. 

Agenda

Topics
 
Knowing Your Employee is as important as Knowing Your Customer
Training/targeted training
Cyber Crime
Holistic view of financial crime: Enterprise-wide risk management
Importance of transaction monitoring/surveillance
Filing of suspicious activity reports (SAR)
Making the business case for compliance
High risk accounts/SFPF/312 compliance
Banking a Licensed Money Transmitter Safely
The Impact of AML/CFT Regulations in the US for MTOs/MSBs
Is it all worth it? Enforcement Challenges

Who Should Attend

Senior Executives from Financial Institutions, MSB, Credit Unions, Banking Attorneys & Consultants

Topics
 
Knowing Your Employee is as important as Knowing Your Customer
Training/targeted training
Cyber Crime
Holistic view of financial crime: Enterprise-wide risk management
Importance of transaction monitoring/surveillance
Filing of suspicious activity reports (SAR)
Making the business case for compliance
High risk accounts/SFPF/312 compliance
Banking a Licensed Money Transmitter Safely
The Impact of AML/CFT Regulations in the US for MTOs/MSBs
Is it all worth it? Enforcement Challenges

Kenneth Crowell Isaacson, Sr.President & CEOComplilaw Advisory Services, LLC

  • President and Chief Executive Officer of Complilaw Advisory Services, LLC (a firm he founded in December of 2003, which has provided forensic anti-money laundering expertise to the banking, insurance, asset management, and broker-dealer communities worldwide)
  • A certified anti-money laundering specialist with the Society for Anti-Money Laundering Professionals, Certified Financial Investigator, and a professional member of PRMIA and the National Futures Association
  • Author of the Registered Investment Advisors Legal Handbook, the anti-money laundering column

Philip MagathanBSA/AML Compliance Specialist Office of Thrift Supervision (OTS)U.S. Department of the Treasury

  • A BSA Compliance Specialist for Bank Secrecy Act (BSA) and Anti Money Laundering (AML) Compliance, Division of Compliance & Consumer Protection, Office of Thrift Supervision (OTS), a bureau of the U.S. Department of the Treasury; began his career with the OTS in 1989, and has also held the positions of Investigative Specialist and Compliance Examiner
  • Directs the development of BSA and AML examination policy and procedures, and routinely provides analysis of adequacy of anti-money laundering program controls to both examiners and industry; also provides policy interpretations and guidance to field staff, and represents the OTS and the U.S. Treasury on various interagency task forces and training programs
  • Throughout his career with OTS, has been called upon to assist various Federal law enforcement agencies including the Department of Justice, Asset Forfeiture/Money Laundering Section, in the investigation of complex bank fraud and money laundering cases
  • A native of the state of Kansas; holds a Masters Degree in Administration of Justice from Wichita State University, Wichita, KS, and is professionally accredited as a Certified Fraud Examiner and Federal Compliance Regulator

Kimberly Kiefer PerettiSenior Counsel Computer Crime and Intellectual Property Section of the Criminal DivisionU.S. Department of Justice

  • At the Department of Justice, investigates and prosecutes crimes involving computer networks, including hack attacks and other types of computer intrusion, and online financial crimes, including identity theft, phishing, money laundering, and illegal money transmitting; was the co-lead prosecutor in Operation Firewall, a Secret Service investigation into

Saskia RietbroekPresidentAML Services International, LLC

  • President of AML Services International, LLC, a consulting and training company in the money laundering and terrorist financing field
  • Was the first executive director for the Association of Certified Anti-Money Laundering Specialists (ACAMS) from 2001 to 2005
  • Has developed training manuals, has conducted training for Money Laundering Alert and ACAMS, and coauthored

John WagnerDirector for Bank Secrecy Act and Anti-Money Laundering ComplianceOffice of the Comptroller of the Currency (OCC)

  • Director for Bank Secrecy Act and Anti-Money Laundering Compliance at the Office of the Comptroller of the Currency (OCC)
  • Directs the development of Bank Secrecy Act and anti-money laundering examination policy and procedure and provides policy interpretations and guidance to field staff, represent the OCC and the U.S. Treasury on interagency task forces and develop training programs
  • A certified anti-money laundering specialist and a commissioned national bank examiner. He began his OCC career 23 years ago in Dallas, Texas, and subsequently served in San Francisco and Washington, DC
  • A native of New York state and received BS in Business Administration (finance and international business) from Northeastern University, Boston, Massachusetts

David LandsmanExecutive DirectorNational Money Transmitters Association

  • Executive Director, National Money Transmitters Association, New York
  • An authority on money laundering controls and regulatory issues applicable to money transmitting businesses
  • Specializes in Bank Secrecy Act and state licensing compliance issues.
  • Has led efforts to counter the trend among U.S. banks to close the accounts of money transmitters and;
  • Seeks to continuously improve transmitters' understanding and adherence to compliance standards, while assuring that those compliance standards are straightforward, practical and fair for all

David CarusoManaging DirectorThe Dominion Advisory Group

  • Prior to forming The Dominion Advisory Group in May, 2005, was the Executive Vice President, Compliance & Security of Riggs Bank NA
  • In June 2003, was hired to build a regulatory compliance, investigations, and security department in response to 2003 enforcement action against Riggs
  • Led the development and implementation of a BSA/AML program across all consumer, commercial, investment, and international business lines and was responsible for reporting on the bank's efforts to resolve its regulatory challenges to the Board of Directors, senior examination and headquarters staff of the OCC and Federal Reserve, senior law enforcement officials and the staff of several Congressional committees
  • While at Riggs, oversaw the investigation of Augusto Pinochet's alleged money laundering and the corruption involving senior government officials of Equatorial Guinea
  • Prior to joining Riggs, was a director at two big four accounting firms where he led anti-money laundering compliance and fraud investigations practices. Prior to consulting, Mr. Caruso was the manager of the anti-money laundering and enhanced due diligence group at JP Morgan & Company
  • Began his career as a Special Agent with the U.S. Secret Service where he was assigned to the New York Field Office's Financial Institution Fraud group
  • Received BA from the George Washington University

Samantha J. LeventhalDirector Global Monetary & Financial Control GroupMerrill Lynch & Co.

  • Responsible for developing and implementing Merrill Lynch

Jamie BoucherPartnerSkadden, Arps, Slate, Meagher & Flom LLP

  • A counsel in Skadden

Click Here to Read Additional Material

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   On-demand Webcast

Prerequisite:
   NONE

Course Code:
   545345

Total Credits:
    2.0 CLE

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About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

  • President and Chief Executive Officer of Complilaw Advisory Services, LLC (a firm he founded in December of 2003, which has provided forensic anti-money laundering expertise to the banking, insurance, asset management, and broker-dealer communities worldwide)
  • A certified anti-money laundering specialist with the Society for Anti-Money Laundering Professionals, Certified Financial Investigator, and a professional member of PRMIA and the National Futures Association
  • Author of the Registered Investment Advisors Legal Handbook, the anti-money laundering column
  • A BSA Compliance Specialist for Bank Secrecy Act (BSA) and Anti Money Laundering (AML) Compliance, Division of Compliance & Consumer Protection, Office of Thrift Supervision (OTS), a bureau of the U.S. Department of the Treasury; began his career with the OTS in 1989, and has also held the positions of Investigative Specialist and Compliance Examiner
  • Directs the development of BSA and AML examination policy and procedures, and routinely provides analysis of adequacy of anti-money laundering program controls to both examiners and industry; also provides policy interpretations and guidance to field staff, and represents the OTS and the U.S. Treasury on various interagency task forces and training programs
  • Throughout his career with OTS, has been called upon to assist various Federal law enforcement agencies including the Department of Justice, Asset Forfeiture/Money Laundering Section, in the investigation of complex bank fraud and money laundering cases
  • A native of the state of Kansas; holds a Masters Degree in Administration of Justice from Wichita State University, Wichita, KS, and is professionally accredited as a Certified Fraud Examiner and Federal Compliance Regulator
  • At the Department of Justice, investigates and prosecutes crimes involving computer networks, including hack attacks and other types of computer intrusion, and online financial crimes, including identity theft, phishing, money laundering, and illegal money transmitting; was the co-lead prosecutor in Operation Firewall, a Secret Service investigation into
  • President of AML Services International, LLC, a consulting and training company in the money laundering and terrorist financing field
  • Was the first executive director for the Association of Certified Anti-Money Laundering Specialists (ACAMS) from 2001 to 2005
  • Has developed training manuals, has conducted training for Money Laundering Alert and ACAMS, and coauthored
  • Director for Bank Secrecy Act and Anti-Money Laundering Compliance at the Office of the Comptroller of the Currency (OCC)
  • Directs the development of Bank Secrecy Act and anti-money laundering examination policy and procedure and provides policy interpretations and guidance to field staff, represent the OCC and the U.S. Treasury on interagency task forces and develop training programs
  • A certified anti-money laundering specialist and a commissioned national bank examiner. He began his OCC career 23 years ago in Dallas, Texas, and subsequently served in San Francisco and Washington, DC
  • A native of New York state and received BS in Business Administration (finance and international business) from Northeastern University, Boston, Massachusetts
  • Executive Director, National Money Transmitters Association, New York
  • An authority on money laundering controls and regulatory issues applicable to money transmitting businesses
  • Specializes in Bank Secrecy Act and state licensing compliance issues.
  • Has led efforts to counter the trend among U.S. banks to close the accounts of money transmitters and;
  • Seeks to continuously improve transmitters' understanding and adherence to compliance standards, while assuring that those compliance standards are straightforward, practical and fair for all
  • Prior to forming The Dominion Advisory Group in May, 2005, was the Executive Vice President, Compliance & Security of Riggs Bank NA
  • In June 2003, was hired to build a regulatory compliance, investigations, and security department in response to 2003 enforcement action against Riggs
  • Led the development and implementation of a BSA/AML program across all consumer, commercial, investment, and international business lines and was responsible for reporting on the bank's efforts to resolve its regulatory challenges to the Board of Directors, senior examination and headquarters staff of the OCC and Federal Reserve, senior law enforcement officials and the staff of several Congressional committees
  • While at Riggs, oversaw the investigation of Augusto Pinochet's alleged money laundering and the corruption involving senior government officials of Equatorial Guinea
  • Prior to joining Riggs, was a director at two big four accounting firms where he led anti-money laundering compliance and fraud investigations practices. Prior to consulting, Mr. Caruso was the manager of the anti-money laundering and enhanced due diligence group at JP Morgan & Company
  • Began his career as a Special Agent with the U.S. Secret Service where he was assigned to the New York Field Office's Financial Institution Fraud group
  • Received BA from the George Washington University
  • Responsible for developing and implementing Merrill Lynch
  • A counsel in Skadden

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