AML Compliance in 2018: Exploring Updates and Navigating Changes
Anti-money laundering (AML) remains to be at the top of U.S. regulatory priorities. Federal prosecutors and regulatory agencies are willing to impose substantial penalties in relation to the Bank Secrecy Act/anti-money laundering (BSA/AML) laws’ enforcement. The enforcement actions of Securities and Exchange Commission (SEC) against broker/dealers in 2017 further demonstrate the government’s continued focus on AML efforts.
AML enforcement is expected to intensify this 2018, and with this, new challenges and changes are likely to emerge. Financial institutions need to enhance their compliance programs to cope with the ever-changing regulatory requirements in today's complex backdrop.
In a LIVE Webcast, a panel of thought leaders and practitioners assembled by The Knowledge Group will discuss the significant and latest issues surrounding AML Compliance. Speakers will also offer practical advice on how U.S. and non-U.S. companies can strengthen their compliance and mitigate regulatory risks.
Key topics include:
- AML Enforcement and Compliance – Recent Trends and Developments
- Insights on Compliance Failures
- Effective Compliance Programs
- Risk Mitigation Strategies
- Regulatory Outlook
Ms. Samantha Welch
Navigant Consulting, Inc.
Mr. William C. Marquardt
Berkeley Research Group, LLC
- Regulatory Overview/ Political environment
- Trump Administration
- CDD Rule -beneficial ownership requirements and ongoing monitoring (5th pillar)
- NYS DFS 504
- Securities fraud
- Cyber/ SARs
- Lessons learned/ themes from recent events
- Individual accountability
- Management and Oversight/ Governance
- Independent Tests
- RegTech and Crypto-currencies
- New payment strategies
William (Bill) Marquardt is a director in BRG's Global Investigations + Strategic Intelligence practice. He has significant experience in the areas of forensic accounting, compliance and risk management consulting, with a concentration on the US Foreign Corrupt Practices Act (FCPA) and corporate investigations. He has worked with entities and individuals in government investigations involving financial and accounting fraud, insider trading, wire fraud, and other Anti-Money Laundering (AML) issues. He is adept at analyzing and simplifying complex financial, accounting and compliance issues and effectively communicating core issues clearly and concisely.
William (Bill) Marquardt is a director in BRG's Global Investigations + Strategic Intelligence practice. He has significant experience in the …
Samantha Welch is a Director in Navigant’s Global Investigations and Compliance practice. Prior to joining Navigant in June 2016, Samantha spent 16 years in the compliance departments of large global financial institutions. Samantha has extensive experience in the fields of Anti-Money Laundering and bank compliance.
Samantha Welch is a Director in Navigant’s Global Investigations and Compliance practice. Prior to joining Navigant in June 2016, Samantha …
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Method Of Presentation:
Experience in banking or finance laws
NY Category of CLE Credit:
Areas of Professional Practice
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About Berkeley Research Group, LLC
Berkeley Research Group, LLC is a leading global strategic advisory and expert consulting firm that provides independent advice, data analytics, authoritative studies, expert testimony, investigations, and regulatory and dispute consulting to Fortune 500 corporations, financial institutions, government agencies, major law firms, and regulatory bodies around the world.