HomeWebcastAML Compliance in 2018: Exploring Updates and Navigating Changes
Online CLE AML Compliance CLE

AML Compliance in 2018: Exploring Updates and Navigating Changes

Live Webcast Date: Wednesday, June 06, 2018 from 3:00 pm to 4:00 pm (ET)
Risk and Compliance CLE & CPERecording

Online CLE AML Compliance

Join us for this Knowledge Group Online CLE AML Compliance Webinar. 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 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

Agenda

Ms. Samantha Welch
Director
Navigant Consulting, Inc.     

AND

Mr. William C. Marquardt      
Director
Berkeley Research Group, LLC         

  1. Regulatory Overview/ Political environment
    • Trump Administration
    • Sanctions
    • CDD Rule -beneficial ownership requirements and ongoing monitoring (5th pillar)
    • NYS DFS 504
    • GTOs
    • Securities fraud
    • Cyber/ SARs
  2. Lessons learned/ themes from recent events
    • Individual accountability
    • De-risking
    • Management and Oversight/ Governance
    • Independent Tests
    • Affiliates
  3. RegTech and Crypto-currencies
    • New payment strategies
    • ICOs

 

Who Should Attend

  • Banking and Financial Institutions
  • AML/BSA Lawyers
  • AML/BSA Officers and Managers
  • Financial Reporting Officers
  • Auditors and Accountants
  • AML Compliance Officers
  • Risk Mitigation Officers
  • Fraud Monitoring Officers
  • AML investigators
  • Other Interested Professionals

Online CLE AML Compliance

Ms. Samantha Welch
Director
Navigant Consulting, Inc.     

AND

Mr. William C. Marquardt      
Director
Berkeley Research Group, LLC         

  1. Regulatory Overview/ Political environment
    • Trump Administration
    • Sanctions
    • CDD Rule -beneficial ownership requirements and ongoing monitoring (5th pillar)
    • NYS DFS 504
    • GTOs
    • Securities fraud
    • Cyber/ SARs
  2. Lessons learned/ themes from recent events
    • Individual accountability
    • De-risking
    • Management and Oversight/ Governance
    • Independent Tests
    • Affiliates
  3. RegTech and Crypto-currencies
    • New payment strategies
    • ICOs

 

Online CLE AML Compliance

Online CLE AML Compliance

William C. MarquardtDirectorBerkeley Research Group, LLC

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.

Online CLE AML Compliance

Samantha WelchDirectorNavigant

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.

Online CLE AML Compliance

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   On-demand Webcast

Prerequisite:
   Experience in banking or finance laws

Course Code:
   147073

NY Category of CLE Credit:
   Areas of Professional Practice

Total Credit:
    1.0 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.

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.

Website: https://www.thinkbrg.com/

Navigant is an international consulting firm with approximately 5,500 professionals combining deep industry expertise and integrated solutions to assist companies in enhancing stakeholder value, improving operations and addressing the challenges of business model change.  Navigant combines sophisticated technical skills with deep industry knowledge to provide customized services and support to address urgent and critical business issues.

Navigant has established a reputation as a leader in the global and U.S. markets in developing, assessing, enhancing and implementing compliance and risk management programs for financial institutions, with focus on anti-money laundering and Office of Foreign Assets Control (“OFAC”) areas.

Website: https://www.navigant.com/

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.

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.

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