Upload
brian-hart
View
225
Download
0
Embed Size (px)
Citation preview
7/30/2019 Advance Programm Lec 10
1/20
ADVANCE
PROGRAM
ABA/ABAMONEYLAUNDERING
ENFORCEMENTCONFERENCEForAMLandFraudRiskProfessionals
Youvegotcompliancequestions.
Wevegotcomplianceanswers.
October1719,2010
WashingtonMarriott
WardmanParkHotel
Washington,DC
7/30/2019 Advance Programm Lec 10
2/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 2
CORPORATEPARTNER
PLATINUMLEVELSPONSORS
GOLDLEVELSPONSORS
SILVERLEVELSPONSORS
WETHANKOURCONFERENCESPONSORS
7/30/2019 Advance Programm Lec 10
3/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 3
ABA/ABAMONEYLAUNDERING
ENFORCEMENTCONFERENCE
AdmissionfeeincludesalleducationalsessionsfromOctober17
19,tworeceptions,twolunches,twocontinentalbreakfastsand
dailycoffeebreaks. Seeschedulefordetails. Thepreconference
workshopisseparatelypricedandrequiresaseparateregistration.
RegistrationCategory Fee
EarlyABAMember/ServiceMember/
Government/CRCM/CFSSP *EarlybirdrateineffectuntilAugust6,2010.After
August6,2010,theregistrationratesgoesto$1190.
$990*
ABAMemberTeam*Discount*Ifapplicable,multipleorteamregistrantrateisfor
eachadditionalpersonfromthesameinstitution.
$990
NonMember $1585
Spouse/Guest
*Thisrateappliesonlytoguest,spouse,significant
otherorfriendwhoisnotinafinancialservices
occupation.Acoworkeroranassociatewithin
financialservicesmaynotbeconsideredaguest. This
feeisavailablesoyoursignificantothercanattend
exhibithallreceptionsanddinewithyouatmeals.
$125
ABADetectingandMonitoringforFinancialCrimes:
AWorkshoponFraudandAMLRedFlagsAdmissionfeeincludesthefullonedayworkshoponOctober16,
continentalbreakfast,coffeebreaksandlunch.
Spouses/Guests/Significantothersnoteligibleforadmissionata
reducedrate.
RegistrationCategory
Fee
EarlyABAMember/ServiceMember/
Government/CRCM/CFSSP $475
NonMember $675
RegistrationCancellationsRegistrationsreceived30dayspriortotheprogramwillbe
includedintheAdvanceRegistrationDirectory.Ifyoucancel
morethan30dayspriortotheprogramstartdate,youwill
receiveafullrefund.Ifyoucancel130daysbeforethe
programstartdate,youmay:
Transferyourregistrationtoanotherpersonfromyourinstitution;
ReceivefullcredittowardanotherABAProfessionalDevelopmentprogram(mustbeusedwithin12months);
Requestarefundlessa$350processingfee.Cancellationsmadeaftertheprogrambeginsarenon
refundable.Pleasecontact1800BANKERSwithany
questions.
CONFERENCEHOTEL
MarriottWardman
Park
Hotel
2660WoodleyRoad,NW,Washington,DC20008
Tel: 2023282983;Fax: 2022340015
http://marriott.com/property/propertyPage/WASDT
MakingHotelReservationsCall2023282000or18002289290tomakeyourhotel
reservationsdirectlywiththeWashingtonMarriottWardman
ParkHotel.MentiontheABA/ABAMoneyLaundering
EnforcementConferenceandgetourspecialdiscountedrate
of$259forsingleordoubleoccupancy,pernight,perroom,
basedon
group
availability,
through
September
24,
2010.
Afterthisdate,roomsaresubjecttoavailabilityand
prevailingrateswillapply.Allreservationsmustbe
guaranteedwithamajorcreditcard.Checkintimeis4:00
pm;checkouttimeisNoon.
Allchangesinarrival,departure,typeofaccommodations or
cancellationmustbemadebySeptember24,2010,directly
withthehotel,eitherinwritingorbytelephone.Youmaybe
billedforlatearrivalorearlydeparture.Shouldyoucancel
yourreservation,thedepositwillberefundedifnoticeis
receivedatleast72hours/3dayspriortoarrivalanda
cancellationnumberisobtainedthroughthehotel.Please
checkwiththehotelforitscompletecancellationpolicy.
TRAVELDISCOUNTSABAispleasedtoofferattendeesthefollowingdiscounts:
UnitedAirlines:18005214041(MentionID#597BY) DeltaAirlines:18003281111(MentionID#NM4ND) HertzCarRental:18006542240(MentionID
#CDP11657and#PC132860)
HOTELANDTRAVEL
INFORMATION
REGISTRATIONINFORMATION
CLICKREGISTERONTHEWEBPAGETOREGISTER
7/30/2019 Advance Programm Lec 10
4/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 4
AIRPORTTRANSPORTATIONYoumaychoosetoarrivefromanyofthreelocalairports.
Pleasenotethatthehoteldoesnotprovideshuttleservice.
Fordrivingdirections,pleasevisitthehotelswebsite.
Currentpricingforonsiteparkingisapproximately
$32per
day.
ReaganNationalAirport(DCA)9milesNWofthehotel|Estimatedonewaytaxifare:$20
MetroOption:TakeMetrorail(www.wmata.com)tothe
hotel.TaketheYellowLinetowardsFortTotten/MtVernon
Square.ArriveatGalleryPlace/Chinatown Stationand
transfertotheRedLinetoShadyGrove/Grosvenor.Thehotel
is1blocksfromtheWoodleyPark/Zoometrostation. This
routeisnotrecommendedforthosewhomayhavedifficulty
walkingwithheavyluggage. Rushhour,onewayMetrorail
fareis
approx:
$3
4
DullesInternationalAirport(IAD)25milesNWofthehotel|Estimatedonewaytaxifare:$65
OtherOptions:TakeMetrobus5AtoRosslynstationand
Metrorailtothehotel(www.wmata.com)ORtakeashared
shuttlefromSuperShuttle(www.supershuttle.com)
BaltimoreWashingtonInternational(BWI)33milesNEofthehotel|Estimatedonewaytaxifare:$80
OtherOptions:
Take
AMTRAK
from
BWI
to
DCs
Union
Station
(www.amtrak.com)andMetrorailtothehotelORtakea
sharedshuttlefromSuperShuttle(www.supershuttle.com).
NOTE: TraveltimetoBWIandDullesairportshasrecently
increasedduetoconstruction.
OPENSEATING
Ourconference
is
designed
to
be
flexible,
with
open
seating
Youdonotneedtosignupforsessionsinadvance. There
maybeanunusualcircumstancewhereasessiondrawsmore
thanthenormalnumbers. Werecommendthatyouplana
backupsessionforeachseriessoyourschedulecanremain
flexibleyetproductive.
ATTIREBusinesscasualisappropriateforalleventsandsessions.
Averagedailytemperaturesrangefrom45Fintheevenings
to70Finthedaytime. DontforgettochecktheWeather
Channelbeforepacking. Sincemeetingroomtemperatures
tendto
be
cool,
we
recommend
you
bring
ajacket
or
sweater.
RegistrationDeskHours
Sunday,October17 9:00am7:00pm
Monday,October18 7:00am6:30pm
Tuesday,October19 7:00am5:00pm
Pleaserememberthatbadgesarerequiredforall
conferencesessionsandactivities. Replacementbadgesmay
beobtainedattheRegistrationDesk. Guest/spouse
registrationis$125payableattheRegistrationDesk.
PressPressmustpreregister. PleasecontactJonSnowlingat
HotelBusinessCenterLocatedontheLobbyLevel: (202)3282946
Hours:7:00am7:00pm(Monday Friday)
8:00am4:00pm(Saturday Sunday)
IRSStatementCostforunsponsoredmealsandreceptionsincludedinthe
registrationfeeforthismeetingisbeingcalculated. Thisinformationwillbeprovidedforyourtaxrecordsinlightof
theIRS50%deductionprovisionunderSection274(n)ofthe
InternalRevenueCode.
ONSITE
INFORMATION
7/30/2019 Advance Programm Lec 10
5/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 5
CONFERENCEMATERIALS
GOINGGREEN! Basedonyourpositivefeedback,wearereducingournegativeimpactontheenvironment
byofferinghandoutsexclusivelyonline. Youwill
haveanopportunitytogoonlinepriortothe
conferenceand
out
the
handouts
you
need
oneweekpriortotheevent.
SessionPowerPoints OnDemandWewillhaveprintingkiosksavailabletoprintonlythe
PowerPointsmadeavailabletousbeforetheconference. All
otherhandoutsandPowerPointsreceivedonsitewillbe
availableonlinepostconferenceforapproximatelyoneyear.
AUDIORECORDINGSAretheretoomanygreatsessionchoices
andyoucantattendallofthem? Want
tobringasessionortheentireconferencehometoacolleague? Many
sessionswillbeaudiorecorded,subjecttospeaker
permission.Toorderyouraudiorecordingsfromournew
vendor,PeachNewMedia,youmaycompletetheorderform
foundinyourtotebagandbringittoouraudiorecordings
representativeattheRegistrationDesk. Weareonceagain
sellingrecordingsofindividualsessions!
CONFERENCEPLANNINGCORETEAM
Dorothy
A.
Friedlander,
Conference
Team
Leader/
Senior
Director,
MichelleVillabroza,Director,SeniorMeetingPlanner,
JaimeOnque,MeetingPlanner,[email protected]
RegistrationManagers
MichelleStrachan(lead)andCandaceBoone,[email protected]
Exhibits/Sponsorships
LindaSingleton,SeniorBusinessDevelopmentManager,
PublicRelations
JonathanSnowling,Manager,PublicRelations,[email protected]
COCHAIRS
ElliotH.Berman,SeniorVicePresidentandGeneralCounsel
JohnsonFinancialGroup,Inc.,Racine,Wisconsin
GordonGreenberg,Partner,McDermottWillandEmery,Los
Angeles,CA
MEMBERS
CarolM.Beaumier,ManagingDirector,Protiviti,
NewYork,NY
MaraDeLourdesJimnez,Esq.,SeniorVicePresidentand
Manager,CorporateComplianceDivision,BancoPopularDe
PuertoRico,SanJuan,PR
LesterM.Joseph,InternationalInvestigationsManager,
FinancialIntelligence
Unit,
Wells
Fargo
&
Company,
McLean,VA
WilliamD.Langford,Jr.,SeniorVicePresident,Directorof
GlobalAntiMoneyLaundering,JPMorganChase,
NewYork,NY
PeterJ.Neilson,SeniorVicePresident,DirectorofAML
Compliance,CapitalOneBank,NewOrleans,LA
WilmerParker,Partner,MaloyJenkinsParker,Atlanta,GA
JasonR.Pickholz,Partner,DuaneMorrisLLP,NewYork,NY
AnnaM.Rentschler,CRCM,CAMS,AMLP,VicePresidentand
BSAOfficer,CentralBancompany,JeffersonCity,MO
JamesR.Richards,ExecutiveVicePresident/BSAOfficer,
WellsFargo&Company,SanFrancisco,CA
AmyG.Rudnick,Partner,Gibson,Dunn&Crutcher,LLP,
Washington,DC
RichardA.Small,VicePresident,EnterpriseWideAntiMoney
LaunderingandSanctionsRiskManagement,American
Express,New
York,
NY
ChristopherT.Spellman,CRCM,SeniorVicePresidentand
ComplianceOfficer,Morrill&JanesBank,Merriam,KS
BrianJ.Wimpling,CAMS,SeniorVicePresident,CapitalCity
Bank,Tallahassee,FL
2010ADVISORYBOARD
7/30/2019 Advance Programm Lec 10
6/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 6
1120ConnecticutAvenue,NW,Washington,DC20036
1800BANKERSwww.aba.com
Foundedin1875andbasedinWashington,DC,theAmerican
BankersAssociationbringstogetherbanksofallsizesand
chartersintooneassociation.ABAworkstoenhancethe
competitivenessofthenation'sbankingindustryand
strengthenAmerica'seconomyandcommunities.Its
members
the
majority
of
which
are
banks
with
less
than
$125millioninassetsrepresentover95percentofthe
industry's$13.3trillioninassetsandemployover2million
menandwomen. ThemissionoftheAmericanBankers
Associationistoserveitsmembersbyenhancingtheroleof
financialservicesinstitutionsasthepreeminentprovidersof
financialservices. Thismissionisaccomplished through
federallegislativeandregulatoryactivities,legalaction,
communicationandconsumereducation,research,and
productsandservicesthatpromote,educate,train,inform
andsupportmembers.
ABAPROFESSIONAL
DEVELOPMENT
ABAistheindustryleaderinadvancingcareers,
developingtalentandincreasingtheperformance
ofthousandsofbankprofessionals. Withprovensolutions
backedbyoursatisfactionguarantee,ABAdeliverseffective
trainingprogramsthatmeetyourbusinessobjectivestime
andtimeagain.
ABASERVICEMEMBERPROGRAMAmericanBankersAssociationmembershipincludes
companiesthatprovideproductsandservicestobanks. The
ABAServiceMembershipprogramgoalistoincrease
communication
between
service
providers
and
ABA
members,inadditiontoprovidingServiceMemberswith
increasedbankercontactandcorporaterecognition. ABA
ServiceMemberswhoareexhibitorswillbehighlightedin
youronsiteExhibitor/SponsorDirectory. Weencourage
youtovisitwiththemandtheotherfinecompanies
participatingintheconference.
74015thSt.NW,Washington,DC20005
2026621500;Fax: 2026621501
www.abanet.org/crimjust
TheAmericanBarAssociationisoneofthelargestvoluntary
professionalmembershipassociationsintheworld.
Currently,itsmembersnumbermorethan400,000. The
CriminalJusticeSection(CJS)withover21,000members
welcomesyour
active
participation
whether
you
are
abanker
lawyerorboth. TheSectionisthepremiersourceof
knowledgeandinsightintothecomplexissuesofcriminal
justicethatfacethenation.
Bybringingtogethertheperspectivesofprosecutors,defense
lawyers,judges,scholars,andothersthesectionprovides
valuableandthoughtfullycraftedproductstoitsmembers,to
thelegalprofessionoverall,andtothenation. CJSprovides
membersthetools,expertresourcesandinformationto
assisttheminachievingthehighestlevelofprofessional
expertise. TheCJSWhiteCollarCrimeConferenceevery
springdrawsover1,200participantsandprovidesthelatest
updatesoncriticalwhitecollarcrimeissues.www.abanet.org/crimjust
AMERICANBARASSOCIATION
CRIMINALJUSTICESECTIONSTAFFJackC.Hanna,SectionDirector,2026621510,
ReginaAshmon,CommitteesCoordinator,2026621512,
StaceyBrown,MembershipCoordinator,2026621521,
CarolRose,CLEandMeetingsCoordinator,2026621519,
RobertSnoddy,OutreachCoordinator,2026621516,
ABOUTTHEAMERICAN
BANKERSASSOCIATION
ABOUTTHEAMERICAN
BARASSOCIATION
7/30/2019 Advance Programm Lec 10
7/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 7
ASKQUESTIONS!
Manysessionswillhaveopportunitiestoaskquestions,but
wehaveaveryspecificQ&Asessionsetasideforyou! We
encourageyoutosubmitquestionsinadvancefortheASK
THEREGULATORSSESSION. Questioncardsforthissession
willbeavailableoutsideGeneralSession. Youmaysubmit
questionsuntil5:00pmonMondaytothespeciallymarked
boxlocatedwhereyoupickedupyourcard.
POWERSESSIONSAnotherwaytoenhanceyourconferenceexperience! These
specialbreakfastsessions,sponsoredbycorporatepartners,
provideearly
risers
an
opportunity
to
further
enhance
the
conferencelearningexperienceoveracontinentalbreakfast.
Sessionswillbeopenonafirstcome,firstservedbasisand
arelistedintheprogram.
PEERINTERACTIONOneoftheprincipalbenefitsofthisconferenceistheplanned
networkingopportunities. Breaks,mealsandreceptionsare
idealtimestogettoknowyourcolleaguesfromacrossthe
country.
Tofacilitatepeerconversations,badgestickerswillbe
availablefor
you
to
indicate
your
banks
asset
size:
LESSTHAN$250M..........................REDDOT
$251M $500M........................YYEELLLLOOWWDDOOTT
$$550011MM $$11BB..........................................DDAARRKKGGRREEEENNDDOOTT
$$11..11BB $$55BB....................................................LLIIGGHHTTBBLLUUEEDDOOTT
$5.1B $12B......................LIMEGREENDOT
$12.1BANDLARGER................ORANGEDOT
Lawyer/Consultant..............DARKBLUEDOT
Regulator/Government.............PURPLEDOT
NEWCOMERSWewanttogettoknowyou!Ifyouarenewtotheconference,youwillbeabletopickupa
specialribbonfromtheregistrationareasothatwecan
identifyyou!
MARKETPLACEAkeytosuccessasanantimoneylaunderingprofessional
liesinselectingthebestinproductsandservices. TheABA
Marketplacefeaturescompaniesrepresentedby
knowledgeablerepresentativeseagertohelpyouidentifythe
finestincompliancesolutions.Afulldirectoryofour
exhibitorswill
be
provided
to
attendees
on
site.
MARKETPLACEHOURSSUNDAY
October17
MONDAY
October18
TUESDAY
October196:007:00pm 7:00 8:00am 7:158:15am
10:3011:00am 10:0010:30am
1:452:15pm 2:002:45pm
5:006:15pm
Yourcertificateofattendancewillbeinyour
notebook,undertheContinuingEducationTab.
ICBCreditsTheInstituteofCertifiedBankers(ICB)is
dedicatedtopromotingthehighest
standardsofperformanceandethics
withinthefinancialservicesindustry.
The2010ABA/ABAMoneyLaunderingEnforcement
Conferenceis
under
review
for
CRCM,
CFSS,
and
CSOP
credits.
IamCAMScertifiedhow
manyCAMScreditsIwill
receiveforthisprogram?
ACAMSwillprovideparticipantswithanopportunityto
earn21continuingeducationcreditsafterattending
andparticipatinginABA/ABAMoneyLaundering
EnforcementConference. Formoreinformationvisit
www.ACAMS.orgor
contact
ACAMS
at
+1
786.871.3073.
CONTINUINGEDUCATION
ENHANCINGYOUR
CONFERENCEEXPERIENCE
7/30/2019 Advance Programm Lec 10
8/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 8
SPONSOR
CPECREDITSTheAmericanBankersAssociationis
registeredwiththeNational
AssociationofStateBoardsof
Accountancy(NASBA),asasponsor
ofcontinuingprofessionaleducation
onthe
National
Registry
of
CPE
Sponsors.Stateboardsof
accountancyhavefinalauthorityon
theacceptanceofindividualcoursesforCPEcredit.
Complaintsregardingregisteredsponsorsmaybeaddressed
totheNationalRegistryofCPESponsors,150FourthAvenue
North,Suite700,Nashville,TN,372192417.Website:
www.nasba.org.
ThisgroupliveprogramhasbeenreviewedforCPEcredits.
Themaximumnumberofcreditspossibleare17.5forthe
entireconferenceinthefieldsofManagementAdvisory
Services,RegulatoryEthicsandBusinessManagement&
Organization.
Howthe
hours
breakdown
will
depend
on
eachattendeeschoicesinthemanyelectives.
ThemaximumnumberofcreditspossibleinthePre
ConferenceWorkshopare8inthefieldofBusiness
ManagementandOrganization.
CPAsGetYourPenReady!Youmustsigninandsignoutofeverysessiontoreceive
CPEcredit. LookfortheCPEnotebookatthebackofevery
sessionroom. Pleasedontforgettosigninandoutbecause
wearerequiredtocollectthesheetsattheconclusionof
everysession.
CLEHowdoIobtainmyContinuingLEGALEducation
Credits? TheAmericanBarAssociationutilizesaUniformCertificateofAttendancetoobtainmandatorycontinuing
legaleducation(MCLE)credits. Unlessotherwiseindicated,
requiredsponsordocumentationwillbeforwardedtoand
creditrequestedfromMCLEstateswithgeneralrequirements
forallattorneys.
Within30daysofthisactivity(orannuallyifrequired),the
attorneymust
file
this
Certificate
with
his/her
MCLE
state
agencyiflicensedinAL,AR,CO,FL,GA,ID,IN,KS,KY,LA,ME,
MS,NM,NV,ND,OH,PA,PR,RI,TN,UT,VA,WV,orWY.Do
notfilethisCertificatewithyourMCLEstateagencyif
licensedinAZ,CA,DE,IA,MN,MO,MT,NH,NC,NY,OK,OR,
SC,VT,WIorWA.FilingofCertificatesisoptionalinall
remainingstateswithMCLErequirements. Attorneysshould
keeptheoriginaloracopyofthisCertificateforyourfiles.
TheABApaysapplicablefeesinotherstateswherethe
sponsorisrequiredtodosoaswellasinstateswherealate
feemaybecomeapplicable.Pleasebeawarethateachstate
hasitsownrulesandregulations,includingwhatqualifiesfor
'CLE'andEthicscredit.Therefore,certain
programs/productsmaynotreceivecreditinsomestates.
Youmaywishtocheckwithyourstateforconfirmationofa
program's/productsapproval.
ParticipantsinterestedinsecuringCLEcreditfromtheir
statesmustsignthesigninsheetattheconference
registrationdeskaswellascompletetheUniformCertificate
ofAttendance. SomestatessuchasPennsylvania,NewYork,
LouisianaandDelawarehavespecificformstocomplete.
NewYorkandDelawareLicensedAttorneysmustalso
completetheindividualsigninsheetsateachsessionofthis
program. DetailedinstructionscanbeobtainedattheCLE
deskintheregistrationareaorbycallingtheABACLECenterat3129886217.
7/30/2019 Advance Programm Lec 10
9/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 9
ThisAdvanceProgramIsSubjecttoChangeThefollowingadvanceprogramwillcontinuetoevolveaswe
respondto
late
breaking
developments
and
fine
tune
our
sessionsandfinalizespeakers. Werecommendthatyoubook
yourtravelsothatyouareabletoparticipateintheentire
conferenceassessionscouldbeadded,changedormoved.
Theopeningandclosingtimesoftheconferenceasnoted
belowwillremainunchanged. Weareconfidentthatbythe
endofthisconference,youwillhaveabettersenseofwhere
tofocusyourlimitedresourcesasyoucontinuetorespondto
rapidfireregulatorychanges.
REGISTRATIONOPEN9:00AM 7:00PM
1A:SanctionsPrograms
Repeated
in
Session
3A
Room: Tobedetermined
Stricterandbroaderrestrictionsandsteppedupenforcement
activityhaveraisedthebaronOFACcompliance. Thispanel
willexploresomeofthecontinuingchallengestodeveloping
andmaintaininganeffectiveOFACcomplianceprogram.
Topicstobediscussedinclude:
Whathappenswhenyouandyourregulatorshaveadifferentviewofrisk;
Gettingthescreeningright: fuzzylogic,concatenation,wordsplittingandotherchallenges;
Identifyingandaddressingfacilitationrisk; MT202sandstrippingrisk; Managingtradefinancerisks; ACHandIACHscreeningobligations; NPWMDVesselsnamechangesandhowdoyoukeep
upwiththem?
InternalWatchLists.
Speakers:
SusanJ.Galli,CAMS,SeniorVicePresidentandChiefRisk
ManagementOfficer,PacificNationalBank,Miami,FL
JosephHill,Jr.,VicePresident,ComplianceManager,JPMorgan
ChaseBank,N.A.,Wilmington,DE
SaraL.
Satten,
Senior
Vice
President,
OFAC
Officer,
Deputy
BSA
Officer,WellsFargo&Co.,SanFrancisco,CA
1B: HowWellMustYouKnowYourCustomers?RepeatedinSession3D
Room: Tobedetermined
Therearetimeswhenfinancialinstitutionsareexpectedto
conductenhancedduediligenceontheircustomers,apoint
stressedbytheinteragencyguidanceonbeneficialownership
issuedlastMarch. Whenandhowdoyouconductthatextra
diveintoyourcustomersandtheiractivities?
Thissessionwilllookatcurrentissueswithenhanceddue
diligence,including:
Beneficialownershipwhatsexpectednowandwhatsondeck(hereandabroad)
PEPsforeignanddomestichowdoyouidentifyaPEPandhowlongisaPEPaPEPandonceyouvefound
one,whatdoyoudo
Nonresidentalienswhatspecialstepsshouldyoutakewhenyoudiscoverapotentialcustomerisnotaresident
Nongovernmentorganizationsespeciallywithanenhancedfocusoncharitableorganizations,whatmore
doyou
need
to
do
Reliancewhencanyouaccepttheidentificationandverificationofanotherinstitution
Moderator/Speaker:
LindaNoonan,Esq.,OfCounsel,GibsonDunn&CrutcherLLP,
Washington,DC
Speakers:
PeterJ.Neilson,SeniorVicePresident,DirectorofAMLCompliance,
CapitalOneBank,NewOrleans,LA
RobertG.Rowe,III,VicePresidentandSeniorCounselII,ABA
Center
for
Regulatory
Compliance,
American
Bankers
Association,
Washington,DC
BrianJ.Wimpling,CAMS,SeniorVicePresident,CapitalCityBank,
Tallahassee,FL
PROGRAMOFEVENTS
Sunday,October
17,
2010
CONCURRENTSESSIONSSeries1
1:302:45PM
7/30/2019 Advance Programm Lec 10
10/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 10
1C:AMLTechnology: IsYourUseofTechnology
EffectiveandEfficient?
ForLargeand/orComplexBanksSingleSession
Room: Tobedetermined
Overthe
years,
banks
have
come
to
rely
more
and
more
on
technologytosupportAMLmonitoringandasnewand
improvedtechnologieshavebecomeavailable,somebanks
havedecidedontheirowntoupgradewhileothershave
foundthemselvesonthereceivingendofregulators
suggestionstodoso.But,ismorealwaysbetter?
Panelistswilloffertheirviewson:
Whysizealoneisnotthedeterminantofwhatyouneed; DeterminingwhatAMLtechnologycapabilitiesyouneed
andmakingthemostofwhatyourtechnologyoffers;
Understandingyourtransactiondatawhereitcomesfrom
and
how
to
get
at
it;
Theimportanceofunderstandinghowyourtechnology
works;
Techniquesfordemonstratingtheefficiencyandeffectivenessofyouruseoftechnology;
Considerationsforconductingacostbenefitanalysisifyouarecontemplatinganupgrade.
Moderator:
CarolM.Beaumier,ManagingDirector,Protiviti,NewYork,NY
Speakers:
JamesE.Currie,Jr.,SeniorVicePresident,DirectorofBSA
Compliance,BBVACompass,Houston,TX
RobertCurry,SeniorVicePresident/ChiefComplianceOfficer,Fifth
ThirdBank,Cincinnati,OH
JamesR.Richards,ExecutiveVicePresident/BSAOfficer,WellsFargo
&Company,SanFrancisco,CA
1D:AMLTechnology: IsYourUseofTechnology
EffectiveandEfficient?
ForSmalland/orNonComplexBanksSingleSession
Room:
Tobe
determined
Overtheyears,bankshavecometorelymoreandmoreon
technologytosupportAMLmonitoringandasnewand
improvedtechnologieshavebecomeavailable,somebanks
havedecidedtoinvestinorupgradeexistingtechnology
whileothershavefoundthemselvesonthereceivingendof
regulatorssuggestionstodoso.But,ismorealwaysbetter?
Panelistswilloffertheirviewson:
WhetheryoureallyneedspecializedAMLmonitoringtechnology;
Whysizealoneisnotthedeterminantofwhatyouneed Determiningwhatmonitoringcapabilitiesyouneedand
makingthemostofwhatyouhave;
Understanding
your
transaction
data
where
it
comes
fromandhowtogetatit;
Theimportanceofbeingabletoexplainyourmonitoringroutinesand/ortechnology;
Techniquesfordemonstratingtheefficiencyandeffectivenessofyourmonitoring;
Considerationsforconductingacostbenefitanalysisifyouarecontemplatingacquiringorimplementing
specializedtechnology.
Moderator:
ElliotH.Berman,SeniorVicePresidentandGeneralCounsel,
JohnsonFinancialGroup,Inc.,Racine,WI
Speakers:
ElizabethM.Snyder,CRCM,SeniorVicePresidentandChief
ComplianceOfficer,LeadersBank,OakBrook,IL
ChristopherT.Spellman,CRCM,SeniorVicePresidentand
ComplianceOfficer,Morrill&JanesBank,Merriam,KS
JohnR.Topczewski,SeniorVicePresidentandChiefCompliance
Officer, JohnsonBank,Racine,WI
1E: LegalRisksinFraudandAML
SingleSession
Room: Tobedetermined
Apanelofexpertattorneyswilldetailthevarietyoflegalrisks
thatbankerscanencounterintodaysenvironment. Expect
discussionstofocuson:
SecondaryLiability AidersandAbettors ComplianceOfficerswillfullyblind? FinancialWhistleblowersthespieswithinModerator/Speaker:
JasonR.Pickholz,Partner,DuaneMorris,LLP,NewYork,NY
Speakers:
FredricD.Firestone,Partner,McDermottWill&EmeryLLP,
Washington,DC
WilmerParker(Buddy),Partner,MaloyJenkinsParker,Atlanta,GA
EllenZimiles,ManagingDirectorandGlobalHeadofInvestigations
andCompliance,NavigantConsulting,Inc,NewYork,NY
7/30/2019 Advance Programm Lec 10
11/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 11
MOVETONEXTSESSION2:453:00PM
2A: NewIranianSanctionLawRepeatedin4E
Room: Tobedetermined
Thissectionwillfocusonthenewlawimposingadditional
sanctionsagainstIran,theComprehensiveIranSanctions,
Accountability,andDivestmentActof2010,anditsimpacton
financialinstitutions,notablyintheareaofcorrespondent
banking.
Speakers:
ClaytonStevenson(Clay),GlobalEconomicSanctionsExecutive,
BankofAmericaCorporation,NewYork,NY
WilliamB.Hoffman,Counsel,DavisPolk&WardwellLLP,
Washington,DC200052327
SerenaD.Moe,GeneralCounselEconomicSanctions,Citigroup
Inc.,Washington,DC
2B:ManagingExams: AMLExamsfromAtoZSingleSessionRoom: Tobedetermined
ThissessionwillcoverthedetailsofsuccessfulAML
examinationmanagement,includingthepreparationfor
exams,respondingtoexaminerrequests,handlingissuesthat
ariseduringtheexam,wrapupandcorrectiveaction.Our
panelwillincludeexpertsfromlargeandsmallinstitutions.
Moderator:
JohnJ.Byrne,CAMS,ExecutiveVicePresident,Associationof
CertifiedAntiMoneyLaunderingSpecialists(ACAMS),
Washington,DC
Speakers:
MichaelD.Kelsey, ManagingVicePresident,DeputyChief
ComplianceOfficer,AntiMoneyLaunderingandEnterpriseTraining,
CapitalOne,Richmond,VA
RobertW.Kidd,IV,VicePresidentandChiefRiskOfficer,TheFirst
NationalBankofWyoming,Wyoming,DE
2C:TheConvergenceofFraudandAML
ForLargeBanksSingleSession
Room: Tobedetermined
Regulatoryexpectationsfortheintegrationand
coordinationof
fraud
detection
and
prevention
and
antimoneylaunderingprogramsareontheriseand
nowarethetimetoexplorehowtheseexpectations
impactyouandyourprogram. Thissessionwillexplore
theexpectationsandtheimplicationsforthefutureof
yourprogrambycontrastingthestrategiesofhowlarge
banksareorarenotintegratingthesefunctions.
Moderator:
PeterJ.Neilson,SeniorVicePresident,DirectorofAMLCompliance,
CapitalOneBank,NewOrleans,LA
Speakers:
JamesR.
Richards,
Executive
Vice
President/BSA
Officer,
Wells
Fargo
&Company,SanFrancisco,CA
2D: TheConvergenceofFraudandAML
ForSmallBanksSingleSession
Room: Tobedetermined
Regulatoryexpectationsfortheintegrationandcoordination
offrauddetectionandpreventionandantimoneylaundering
programsareontheriseandnowisthetimetoexplorehow
theseexpectations
impact
you
and
your
program.
This
sessionwillexploretheexpectationsandtheimplicationsfor
thefutureofyourprogrambycontrastingthestrategiesof
how smallbanksareorarenotintegratingthesefunctions.
Moderator:
BrianJ.Wimpling,CAMS,SeniorVicePresident,CapitalCityBank,
Tallahassee,FL
Speakers:
RyanRasske,President,AssociatedRiskGroup,LLC,GreenBay,WI
JosephSalerno,ManagingDirector,FinancialCompliance&
InvestigativeServices,LLC,LafayetteHill,PA
AnnMarieTarantino,CRCM,CRP,AMLP,VicePresident,
ComplianceandBSAOfficer,BankofSmithtown,Hauppauge,NY
CONCURRENTSESSIONS
Series23:004:15PM
7/30/2019 Advance Programm Lec 10
12/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 12
2E:InternationalAMLLegalIssuesSingleSession
Room: Tobedetermined
ThissessionwillfocusonthelatestinternationalAMLissues
including:
NewMoneyLaunderingforFinancialInstitutions: Tax. TheRecentHistoryofOffshoreTaxSheltersand
VoluntaryDisclosure.
TaxWhistleblowingUSandelsewhere. Shahv.HSBCUKcivilliabilityforprofessionals? LatestDevelopmentsinInternationalAMLStandardsand
CombatingFinancingofTerrorism.
SecondaryMarketsinLatinAmerica. MexicanBulkCash.Moderator:
WilmerParker(Buddy),Partner,MaloyJenkinsParker,Atlanta,GA
Speakers:
RossDelston,CAMS,AttorneyandFounder,GlobalAML.com,
Washington,DC
RodFletcher,HeadofDepartment,BusinessCrimeandRegulation,
RussellJones&WalkerSolicitors,ChanceryLane,London
ClementeVasquesBello,Shareholder,Gunster,Yoakley&Stewart
P.A.,Miami,FL
BruceZagaris,Partner,BerlinerCorcoran&Rowe,Washington,DC
MOVETO
NEXT
SESSION
4:154:30PM
GENERALSESSION
CriticalIssuesinSuspiciousActivityReporting4:306:00PM
Room: MarriottBallroom23
Moderator:
RichardA.Small,VicePresidentEnterpriseWideAntiMoney
LaunderingandSanctionsRiskManagement,AmericanExpress,New
York,NY
Speakers:
Invited: MichaelDeluca,SeniorAdvisor,OfficeofRegulatory
Analysis,RegulatoryPolicyandProgramsDivision,FinancialCrimes
EnforcementNetwork(FinCEN),Washington,DC
DouglasA.Leff,Chief,AssetForfeitureandMoneyLaunderingUnit,
FederalBureauofInvestigation,Washington,DC
OPENINGRECEPTIONINTHEMARKETPLACE6:007:00PM
Sponsoredby:
7/30/2019 Advance Programm Lec 10
13/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 13
REGISTRATIONOPEN7:00AM6:30 PM
Questionsfor
Ask
The
Regulators
Session
AskTheRegulatorsquestioncardsareavailableoutside
GeneralSession. Youmaysubmitquestionsuntil5:30pm
todayplaceinthespeciallymarkedboxnearwhereyou
pickedupyourcard.
CONTINENTALBREAKFAST
INTHEMARKETPLACE7:008:00AM
POWERSESSION#1
ManagingtheExceptionsProcess:
EfficientDispositioningofAlerts
andtheManualReviewCycle
Sponsoredby:
Bestpracticesandhandsonactivitiestooptimizethe
processesutilizedtodecisionandclearexceptionsinyour
queue. Thissessionwillofferadiscussiononthetotalcostto
yourbottomlineofmanagingtheexceptionsqueue. Wewill
explorethecosttiedtothehumaninteractionsthatareoften
notfactoredintothetotalcost.Thissessionwillutilized
scenariobasedtrainingtohelpanalystsunderstandhowto
usedatatodeterminehowtoquicklyassessanddisposition
alertsofvarioustypes.Wewillalsohelpuserscreatetheir
owndecision
matrix
to
quickly
manage
their
review
process
andprovideconsistencyandfeedbacktoCompliance
Managementteams.
Speaker:
DebraGeister,SeniorDirector,AMLandComplianceServices,
LexisNexis,washington,DC
POWERSESSION#2
AFormerMoneyLaunderLooksatEmerging
ThreatsfromLatinAmericaFacingCompliance
OfficersatU.S.Banks
Sponsored
by:
KennethRijock,WorldCheck'sresidentFinancialCrime
Consultant,whohastenyearsofpersonalexperiencein
moneylaundering,andiscurrentlyengagedinidentifying
emergingthreats, surveysthecurrentregionspecific
complianceissuesonfundscomingintoAmericanfinancial
institutionsfromLatinAmerica.Sanctionsevasiontechniques
thatareemanatingfromLatinAmericawillbedescribed,
together
with
suggested
methods
of
identification
and
real
timeinterdiction
Speaker:
KennethRijock,FinancialCrimeConsultant,WorldCheck
POWERSESSION#3
Tobeannouncedsoon.
MOVE
TO
NEXT
SESSION
8:008:15AM
GENERALSESSION
OpeningAnnouncements
andKeyNoteAddress8:158:55AM
Room: MarriottBallroom23
FEATUREDSPEAKER
JamesH.Freis,Jr.,Director,FinancialCrimesEnforcement
Network(FinCEN),
Washington,
DC
POWERSESSIONS
Choiceofthree.
Seatingisfirstcome/firstserved.
7:00 8:00AM
Monday,October18,2010
7/30/2019 Advance Programm Lec 10
14/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 14
GENERALSESSION
TrendsinCriminalandRegulatory
EnforcementActions8:5510:30AM
Room: MarriottBallroom23
Duringthe
last
year,
there
have
been
significant
AML
and
OFACenforcementactionsthathaveresultedinlarge
criminalandcivilpenalties,includingagainstWachoviaBank
(drugmoneylaunderingandtelemarketingfraud)andABN
AmroBank(OFACviolations). Therealsohavebeenan
increasingnumberofmoneylaunderingcasesinvolvingponzi
schemes,fraud,andothercriminalactivity.Thispanelwill
discussthesecases,whattobeonthelookoutfor,andhow
toavoidgettingentangledinamoneylaundering
investigation.
Moderator:
GordonGreenberg,Partner,McDermottWillandEmeryLLP,Los
Angeles,CA
Speakers:
RobbAdkins,ExecutiveDirector,FinancialFraudEnforcementTask
Force,OfficeoftheDeputyAttorneyGeneral,U.S.Departmentof
Justice,Washington,DC
AndreBirotte,UnitedStatesAttorneyfortheCentralDistrictof
California,LosAngeles,CA
FredricD.Firestone,Partner,McDermottWill&EmeryLLP,
Washington,DC
COFFEEBREAKINTHEMARKETPLACE10:3011:00AM
3A:SanctionsPrograms
Repeatedfrom
Session
1A
Room: Tobedetermined
Moderator:
CarolM.Beaumier,ManagingDirector,Protiviti,NewYork,NY
Speakers:
See1Aforspeakers.
3B:LessonstoLearnfromRecentRegulatory
EnforcementActionsandCriminalProsecutions
Repeatedin
Session
4A
Room: Tobedetermined
ThissessionwillexplorerecenthighprofileAMLenforcement
actionsandcriminalprosecutionsandtietheinvestigations
intoafinancialinstitution'sabilitytodetect,preventand
reportsimilaractivity.
Panelistswilldiscusstheredflags,thebreakdownsininterna
controls,andthecontrolsandsystemsthatyoumightutilize
toidentifyandpreventnarcoticstrafficking,mortgagefraud,
Ponzischemesandotherspecifiedunlawfulactivitiesthatare
predicatesto
money
laundering
at
your
institution.
Moderator:
AmyG.Rudnick,Partner,Gibson,Dunn&Crutcher,LLP,
Washington,DC
Speakers:
LesterM.Joseph,InternationalInvestigationsManager,Financial
IntelligenceUnit,WellsFargo&Company,McLean,VA
MarshaA.McClellan,AssistantUSAttorney,USDepartmentof
Justice,Chicago,IL
CONCURRENTSESSIONSSeries3
11:00AM12:15PM
7/30/2019 Advance Programm Lec 10
15/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 15
3C: CantWeAllJustGetAlong? Creatingan
EffectivePartnershipwithMSBsandBankersRepeatedinSession4C
Room: Tobedetermined
Inthissessionourpanelwillprovideperspectiveonthe
relationshipneeded
to
provide
banking
services
to
Money
ServiceBusinesses. Bestpractices,lessonslearnedand
commonexceptionswillbepresentedfrombankers,MSB
personnelandregulators. Learnfromothersmistakes,what
theexaminerswantustodo,andwhattechniques,
questions,strategiesaremosteffectivetocreateaworking
effectivepartnership.
Moderator:
AnnaM.Rentschler,CRCM,CAMS,AMLP,VicePresidentandBSA
Officer,CentralBancompany,JeffersonCity,MO
Speakers:
SepidehBehram,
Head
of
Compliance
and
Regulation,
North
America,TravelexGlobalBusinessPayments,Washington,DC
KennethM.Kohrs,NationalBankExaminer,Officeofthe
ComptrolleroftheCurrency,MidsizeandCommunityBank
Supervision,SouthernDistrict HoustonFieldOffice,Houston,TX
GregThorneycroft,CRCM,VicePresidentandComplianceOfficer,
BankoftheWest,MontereyPark,CA
3D: HowWellMustYouKnowYourCustomers?
Repeatedfrom
Session
1B
Room: Tobedetermined
3E: ForeignCorruptPracticesActRepeatedinSession4D
Room: Tobedetermined
Nothingcouldbehotterfromanenforcementperspective
thantheForeignCorruptPracticesAct. Panelistswillprovide
youwith:
AnoverviewoftheFCPAandaroundupofrecentFCPAcases;
TheUKantibriberylawandotherinternationalinitiatives;
Identifyingredflagsand"new"redflags; HowyourAMLprogramandPEPprocedurescanhelp
youtodesignaneffectiveFCPAComplianceProgram.
Moderator:
GordonGreenberg,Partner,McDermottWillandEmery,Los
Angeles,CA
Speakers:
RodFletcher,HeadofDepartment,BusinessCrimeandRegulation,
RussellJones
&
Walker
Solicitors,
Chancery
Lane,
London
RichardA.Small,VicePresident,EnterpriseWideAntiMoney
LaunderingandSanctionsRiskManagement,AmericanExpress,New
York,NY
LUNCHEONWITHSPEAKER12:151:45PM
Room: MarriottBallroom23
FEATUREDSPEAKER:
Tobe
announced
soon.
Sponsoredby:
DESSERT
IN
THE
MARKETPLACE
1:452:15PM
7/30/2019 Advance Programm Lec 10
16/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 16
4A:LessonstoLearnfromRecentRegulatory
EnforcementActions
and
Criminal
Prosecutions
RepeatedfromSession3B
Room: Tobedetermined
4B: HumanTraffickingandAMLControlsSingleSession
Room: Tobedetermined
Speakers:
ArthurD.Middlemiss,ExecutiveDirector,LegalandCompliance,
JPMorganChase
Bank,
NA,
New
York,
NY
JamesSpero,USDepartmentofHomelandSecurity,Washington,DC
4C: CantWeAllJustGetAlong? Creatingan
EffectivePartnershipwithMSBsandBankersRepeatedfromSession3C
Room: Tobedetermined
Moderator:
ChristopherT.Spellman,CRCM,SeniorVicePresidentand
ComplianceOfficer,Morrill&JanesBank,Merriam,KS
Speakers:
See3Cforspeakers.
4D: ForeignCorruptPracticesActRepeatedfromSession3E
Room: Tobedetermined
4E: NewIranianSanctionLawRepeatedfromSession2A
Room: Tobedetermined
GENERALSESSION
AnInsideLookatWashington3:455:15PM
Room: MarriottBallroom23
Withthepassageofregulatoryreformandtheupcoming
midterm
elections,
seismic
changes
are
occurring
in
Washington,DCwhichwillhaveadirectimpactonyour
institution. And,justbecausetheshiftsmaynotdirectly
affectBSA/AML,itdoesntmeanyouwontbeimpacted. Join
usforaninterestingandinsideWashingtonperspectiveof
whatallthismaymeanforyourinstitutionandhowpriorities
maybeshiftinginsideyourinstitutiontoaccommodatethese
changes.
Moderator:
JohnJ.Byrne,CAMS,ExecutiveVicePresident,Associationof
CertifiedAntiMoneyLaunderingSpecialists(ACAMS),
Washington,DC
Speakers:
WilliamBoger,SeniorFederalLegislativeCounsel,Congressional
RelationsandPublicPolicy,AmericanBankersAssociation,
Washington,DC
DanD.Soto,CAMS,ExecutiveComplianceDirector,BSAOfficer,Ally
Bank,Charlotte,NC
RECEPTIONINTHEMARKETPLACE5:156:30PM
Sponsoredby:
CONCURRENTSESSIONSSeries4
2:15PM3:30PM
7/30/2019 Advance Programm Lec 10
17/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 17
REGISTRATIONOPEN7:00AM5:00PM
CONTINENTALBREAKFAST
INTHEMARKETPLACE7:158:15AM
POWERSESSION#1
VirtualIdentityandAnonymousPayments
Sponsoredby:
VirtualIdentityisthedigitaltranscendenceofwhoyouare,or
pretendtobe,ontotheinternet. Thefastestgrowing
examplescanbefoundinmassivelymultiplayeronlinerole
playinggames(MMORPGs),virtualworlds,social
networking/collaboration/mediawebsites,
and
anonymous
networks.Morethan90%ofallcollegestudentshavea
presenceonasocialnetworkingsite,likeFacebook. More
than50%ofallSouthKoreansvisitvirtualworlds! Email
addresses,onlinebankingaccounts,andscreennamesare
otherfamiliarformsofvirtualidentities,butasweb2.0(user
focusedcontentanddesign)expands,morevividand
expressiveformsofvirtualidentityhaveemerged.Avatars,
characters,andprofilesrepresentindividualswhomight
interactdaily,formfriendships,dobusiness,butnevermeet.
Thisformofcollaborationhascreatedafrictionless
momentumofinformationandhasbecomeanecessityto
communicateand
share
on
an
individual,
corporate,
or
agencylevel.Theyarepersistentinourdailylivesand
cultures,butefficientmanagementoftheseidentitiesis
difficulttoachievebecauseofhowsegmentedandextensive
theinternetis.Withinthemillionsofexistingwebservices,a
usercouldhaveasingularidentitywithineachone.
Inanemergingculturewhereanonymityandpseudonymity
arecommonelementsofpeoplesdailylives,issuesarise
becauseofambiguityinaccountability,difficultyin
verification,varyinganonymity,possibilityforabuse,lackof
regulation,andquestionablelevelsoftrust.Criminalshave
alreadyfirmlyentrenchedthemselvesincyberspace
exploitingtheseweaknesses,ashaveouradversaries.
Anonymousnetworksareflourishing,alongwithanonymous
paymentsystemsservingtheseglobalparticipants. Virtual
goldsystems,manyofwhicharecompletelyoutsideof
existingbankingstructures,haveaddedanewand
unpredictabledimension.
Fromalegal,lawenforcementandbankingperspectivewe
mustfirstacknowledgethevulnerability,andracetocatch
up. Whataretheanticipatedchallengesahead?
JoinScottDuewekefromBoozAllenHamiltonashe
describesthisexploding,andtomany,alien,environment,in
afascinating
multi
media
exploration
of
this
topic.
POWERSESSION#2
AcceleratingTowardsAdaptiveCaseManagement
forFinancialCrimePrevention
Sponsoredby:
Overthepastfewyears,financialinstitutionshave
increasinglyexploredhowcasemanagementsystemscould
providebenefittotheirAMLoperations. Theirobjectives
oftenincludeincreasingproductivity,improving
investigationsquality,enhancingreportingandprovidinga
singleviewofthecustomer. Ascompanieshave
implementedthesecasemanagementsolutions,manyhave
struggledtoeitherfitthesoftwaretotheirprocessesorfit
theirprocessestothesoftware. Thesesolutionsrelyon
processesthataremodeledinadvanceandoftendont
provideknowledgeworkerswiththeflexibilitynecessaryto
bestcapitalizeontheirexpertise.
AdaptiveCaseManagement(ACM)solutionsnotonlyprovide
thisflexibility,butliterallyfocusontransforminghowan
organizationsknowledgeworkersapproach,conduct,and
documenttheirwork. ACMtoolsallowuserstotrulyapply
theirexperienceindeterminingtheappropriateapproachto
completethetaskathand,whileautomaticallydocumenting
theprocessthatwasfollowed. Unlikemanualprocesses,
Tuesday,October19,2010
POWERSESSIONSChoiceofthree
Seatingisfirstcome/firstserved.
7:15
8:15
AM
7/30/2019 Advance Programm Lec 10
18/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 18
templates,orstandardBusinessProcessManagement(BPM)
systemsthatworkwellonlyifanentireprocessispredictable
andknownupfront,ACMsolutionsadapttothe
unpredictableandvariableconditionsthatoccurduring
incidentreviewandinvestigation.
Learningobjectivesandtangiblebenefitsfromattendingthis
session:
Learn aboutadaptivecasemanagement Understandthedifferencebetweentraditionalbusiness
processmanagementandadaptivecasemanagement
Hearaboutwaysinwhichadaptivecasemanagementcanimproveyourinstitutionsefficiencyand
effectiveness
Understandhowyoucanintegrateadaptivecasemanagementintoyourorganizationsprocesses
Speakers:
BrooktonN.Behm,CAMS,RiskConsultingSeniorManager,Crowe
HorwathLLP,
Grand
Rapids,
MI
TroyM.LaHuis,CAMS,RiskConsultingSeniorManager,Crowe
HorwathLLP,GrandRapids,MI
POWERSESSION#3
ProcessAutomationforMoreEfficientand
EffectiveAMLInvestigations
Sponsoredby:
Inrecentyears,financialservicesfirmshavemadesubstantial
investmentsinantimoneylaundering(AML)andcounter
terroristfinancing(CTF)compliance.Duetochanging
complianceandregulatorystandards,manyfirmshave
becomereliantonhighendtransactionmonitoringsolutions.
ThesesolutionshelpensurecoverageofAMLandCFTrisks,
buttheyalsogeneratelargevolumesofalertswhichmustbe
investigated.Regulatory
expectations
for
more
sophisticated
systemsandbusinessprocesseshaveprobablyleadyourfirm
toupgrade,orconsiderupgrading,yourinvestigations
managementinfrastructuretobettersupportanalysisand
investigationofalertsandevents.However,youmaynotbe
optimizingtheuseofyourcasemanagementsystem,
resultinginmisallocationofinvestigativeresources,increased
costofcompliance,andunnecessaryvulnerabilitytofinancial
crime.
Nowthereisanewwaveofenterprisecasemanagementand
processautomationcapabilitieswhichcanhelpimprovethe
efficiencyandeffectivenessofAMLanalystsandinvestigators
allowingyourfirmtodomorewithlesswhilemeetingor
exceedingregulatoryexpectations.InthisPowerBreakfast
session,youwilldiscoverhowyoucanarmyour
investigationsteamwithproductivityenhancingtoolsand
processestorealizehighefficiencyandreducedcosts. Well
sharehowtoleveragetoolsyoumayalreadyhave,aswellas
excitingandemerginginvestigationsautomationsystemsand
processes.AstheleadingAMLvendorformanyyears,witha
customerbasethatincludesmidsizedandregionalaswellas
largeglobalfinancialinstitutions,OracleFinancialServices
Softwareisinauniquepositiontoshareinsightsandlessons
learnedwhichcanhelpyouinyourowneffortstobetter:1. Optimizeyouralertanalysisandcaseinvestigations
systemand
increase
the
productivity
of
your
investigationsprocess;
2. Automatecertainalertanalysissteps,investigations,andQAassociatedwithyourtransactionmonitoring
solutions;
3. Reinforceconsistencyofanalysisandautomatethedocumentationofdecisionmakingandconclusions;
4. Leverageyourfinancialcrimeinvestmentsmoreefficientlyforanenterpriseviewofcustomerbehavior
andcustomerrisk.
Thissessionwillprovidevaluableinsightsonhowtomake
yourAMLandfinancialcrimecaseinvestigationsmore
efficientwithoutsacrificingeffectiveness.Intodayscost
consciousenvironmentyoucannotaffordtomissthis
session.
Speakers:
GauravHarode,ProductManagement,OracleFinancialServices
Software
KarenVanNess,ProductManagement,OracleFinancialServices
Software
MOVETONEXTSESSION8:158:30AM
7/30/2019 Advance Programm Lec 10
19/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 19
GENERALSESSION
AsktheRegulators8:3010:00AM
Room: MarriottBallroom23
Thisisyourannualopportunitytohavequality"Q&Atime"
withsenior
agency
officials.
This
high
level
panel
will
feature
aseniorrepresentativefromthebankingregulatoryagencies
aswellasseniorrepresentativesfromtheSECandFinCEN.
Questioncardswillbeavailableforeachregulatorat
Registration. Youmaysubmitquestionsbefore5:00pmon
Monday. ExpectupdatesontherevisedFFIECexammanual
andotherexamissues.
Moderator:
ElliotH.Berman,SeniorVicePresidentandGeneralCounsel,
JohnsonFinancialGroup,Inc.,Racine,WI
Speakers:
LisaD.
Arquette,
Associate
Director,
Division
of
Supervision
&
ConsumerProtection,FederalDepositInsuranceCorporation,
Washington,DC
LourdesGonzalez,AssistantChiefCounselSalesPractices,Division
ofTradingandMarkets,USSecuritiesandExchangeCommission,
Washington,DC
NinaA.Nichols,Esq.,AssistantDirector,DivisionofBanking
SupervisionandRegulation,BoardofGovernorsoftheFederal
ReserveSystem,Washington,DC
JohnWagner,DirectorforBankSecrecyAct/AntiMoney
Laundering,OfficeoftheComptrolleroftheCurrency,
Washington,DC
BillWilliams,AssistantDirectorforCompliance,OfficeofThrift
Supervision,CentralRegion,Chicago,IL
SeniorRepresentativefromtheFinancialCrimesEnforcement
Network,(FinCEN)Washington,DC
COFFEEBREAKINTHEMARKETPLACE10:0010:30AM
DEEPDIVEEXPANDEDSESSION #1
TheRiskAssessmentProcessforNewProducts,
ServicesandMarkets
Thistwohourminiworkshopwillwalkyouthroughthe
processbywhichyoutakeintoconsiderationalloftherisks
associatedwithnewproductorservicedevelopmentaswell
astherisksassociatedwithenteringnewmarkets.
Bothlargeandsmallbankswillbenefitfromourexpert
panelists
who
will
provide:
Practicalexamplesofriskassessments; Ideasonhowtocreateaprocessthatfitswithyour
particularorganization;
Howtoensureriskassessmentispartoftheoverallstrategyofthebank;
Usefulquestionstohelpassessrisk.Additionally,youwillhearfromaregulatorwhowillprovide
insightsintowhatexaminersarelookingforinyourrisk
assessments.
Speakers:
MaraDe
Lourdes
Jimnez,
Esq.,
Senior
Vice
President
and
Manager,CorporateComplianceDivision,BancoPopularDePuerto
Rico,SanJuan,PR
ElizabethM.Snyder,CRCM,SVPChiefComplianceOfficer,Leaders
Bank,OakBrook,IL
ElaineR.Yancey,SupervisoryExaminer,LegalandFiduciaryRisk,
FederalReserveBankofRichmond,Richmond,VA
DEEPDIVEEXPANDEDSESSIONS10:30AM12:30pm
Youhaveachoiceofthreesessions
Thesesessionswillnotberepeatedbut
theywillberecorded.
7/30/2019 Advance Programm Lec 10
20/20
2010ABA/ABAMoneyLaunderingEnforcementConference
Washington,DCOctober1719,2010 20
DEEPDIVEEXPANDEDSESSION #2
TransactionMonitoringIssuesForLargeBanksRoom: ToBeDetermined
Thistwohourminiworkshopwillcovercriticalissuesin
transactionmonitoringuniquetolargeinstitutions.
Moderator:
MichaelZeldin,Principal,DeloitteFinancialAdvisoryServicesLLP,
Washington,DC
Speakers:
DavidW.Jeffries,SeniorVicePresident ComplianceDirector,
CorporateAMLOperations,JPMorganChaseBank,NA,
Columbus,OH
TomLickiss,SeniorVicePresident&Director,FinancialIntelligence
Unit,WellsFargo&Co.,SanFrancisco,CA
DEEPDIVEEXPANDEDSESSION #3
TransactionMonitoringIssuesForSmallBanksRoom: ToBeDetermined
Thistwohourminiworkshopwillcovercriticalissuesin
transactionmonitoringuniquetosmallinstitutions.
Moderator:
AnnaM.Rentschler,CRCM,CAMS,AMLP,VicePresidentandBSA
Officer,CentralBancompany,JeffersonCity,MO
Speakers:
AnnMarieTarantino,CRCM,CRP,AMLP,VicePresident,ComplianceandBSAOfficer,BankofSmithtown,Hauppauge,NY
TimothyR.White,CAMS,NationalRiskSpecialist,BSAandOFAC,
Banker'sToolbox,Inc.Denver,CO
LUNCHEONWITHSPEAKER12:302:00PM
Room: MarriottBallroom23
FEATUREDSPEAKER
LannyA.
Breuer,
Assistant
Attorney
General,
Criminal
Division,U.S.DepartmentofJustice,Washington,DC
FINALDESSERTINTHEMARKETPLACE2:002:45PM
CLOSINGGENERALSESSION
PrepaidAccessandElectronicBanking:
NewRegulationandNewFrauds2:454:00PM
Room: MarriottBallroom23
Moderator:
RichardA.Small,VicePresident,EnterpriseWideAntiMoney
LaunderingandSanctionsRiskManagement,AmericanExpress,New
York,NY
Speakers:
PhilipLehmanKeitel,Esq.,IndustrySpecialist,PaymentCards
Center,FederalReserveBankofPhiladelphia,Philadelphia,PA
LeeJeffreyRoss,Jr.(Jeff),SeniorVicePresident,BSA/AMLOfficer
GreenDotCorporation,Monrovia,CA
DeborahS.ThorenPeden,Partner,PillsburyWinthropShaw
PittmanLLP,LosAngeles,CA
CONFERENCEADJOURNS4:00PM