Anti-Money Laundering Compliance 101: What Every Firm Needs to Learn from Recent Enforcement Actions
Increasingly, companies are realizing the importance of implementing an Anti-Money Laundering (AML) Compliance Program that can be applied across the business and international boundaries. However, evaluating and mitigating the money laundering risks of an organization is a significant challenge.
Join The Knowledge Group in a two hour, live webinar to learn from some of the most talented AML specialists why the same, common anti-money laundering compliance issues are still plaguing so many companies today. The challenges institutions face are more grave than ever due un-ending regulatory reform and scrutiny and concurrent demands to meet stricter capital requirements while remaining profitable. Our panel of speakers will review and discuss the relevant issues surrounding Anti-Money Laundering (AML) Compliance and discuss what every firm needs to learn from recent enforcement actions.
Key topics include:
- AML Regulations
- Final Rules on Anti-Money Laundering Programs
- Models and Data Validation for AML Systems
- AML Compliance Program Design and Implementation
- Risk Assessment
- Methods of Money Laundering and Detection
- Expectations and Duties of Compliance Officers
- Employee Training
- AML Auditing Program
- AML System Vendor Selection and Utilization
- Money Laundering Investigations
- Independent Testing of AML Programs
- Litigation and Compliance Risks
Duane Morris LLP
- Open with changes in the anti-money laundering statutes
- How should in house compliance people be treated?
Boies, Schiller & Flexner LLP
- Reference to recent case
- U-S AMAL regime, jurisdictional creep
Who Should Attend:
- AML Lawyers and Specialists
- AML Compliance Officers
- AML Officers
- AML Analysts
- AML Reporting Officers
- Fraud Analysts and Monitors
- Senior Bank Executives
- Money Services Businesses Managers
- Risk Managers
- Operations Managers
- Remittance Analysts
- Internal Auditors
- Accounting and Finance Directors
- Mortgage Lenders & Originators
- Precious Gems Traders
- Other Related and Interested Professionals
Mr. Pickholz is a former national Assistant Director of the Securities and Exchange Commission's Division of Enforcement in Washington, D.C. and Chief of the Branch of Enforcement in New York. During his tenure with the SEC, Mr. Pickholz was involved in many high-profile cases involving accounting firms, corporate financial statement fraud, Foreign Corrupt Practices Act and individual defendants of renown.
Mr. Pickholz is the author of the treatise titled Securities Crimes and is the co-author of chapters in leading treatises on accountants' liability, insider trading and section 16(b) liabilities. He has authored over 50 articles and is a frequent guest on CNBC, NBC, Fox News, and the BBC and quoted in domestic and foreign financial publications.
Mr. Pickholz is a former national Assistant Director of the Securities and Exchange Commission's Division of Enforcement in Washington, D.C. …
Matthew L. Schwartz is a Partner in the New York City office of Boies, Schiller & Flexner LLP, where he focuses on government and internal investigations, white collar defense, regulatory compliance, and complex civil litigation. An experienced courtroom lawyer who has first-chaired numerous jury and non-jury trials and argued more than a dozen federal appeals, he joined the firm in January 2015 after more than nine years as an Assistant U.S. Attorney in Manhattan.
As a member of that office’s Securities and Commodities Fraud Task Force, Mr. Schwartz led a number of high-profile matters, including the deferred prosecution agreement with JPMorgan on BSA/AML charges; the “London Whale” investigation; and all aspects of the Government’s investigation of Bernard L. Madoff Investment Securities. He is a three-time recipient of the John Marshall Award, the Department of Justice’s highest honor for lawyers.
Matthew L. Schwartz is a Partner in the New York City office of Boies, Schiller & Flexner LLP, where he …
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Specialized Knowledge and Applications
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About Duane Morris LLP
Duane Morris LLP, a law firm with more than 700 attorneys in offices across the United States and internationally, is asked by a broad array of clients to provide innovative solutions to today's legal and business challenges.
About Boies, Schiller & Flexner LLP
Boies, Schiller & Flexner (www.bsfllp.com) is one of the premier law firms in the United States, regularly serving as lead counsel in the biggest, highest-profile disputes and representing some of the world’s largest and most sophisticated organizations when the results matter most.