Registration and Morning Coffee

Opening Remarks from the Conference Chairperson

Don Temple, Director, KPMG FORENSIC

Gary Murray, DTCC

PANEL DISCUSSION: Managing the Convergence of Fraud and Money Laundering

Moderator:
Don Temple, Director, KPMG FORENSIC

Panelists:
Juan Llanos, Director, UNIDOS FINANCIAL SERVICES
Linda Busby, Anti-Money Laundering Officer, RAYMOND JAMES
Gary Murray, DTCC

REGULATOR INSIGHTS – Strategies for Complying with the Latest AML and Fraud Regulations

Moderator: Gary Murray, DTCC

Alma Angotti, Senior Counsel, FINRA

John Wagner, Director of Bank Secrecy Act and Anti-Money Laundering Compliance, OFFICE OF THE COMPTROLLER OF THE CURRENCY

Suzanne Williams, Manager, BSA/AML Risk, BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM

Tom Fleming, Asst. Director, FINCEN

Networking Break

KEYNOTE ADDRESS: Fostering Cooperation and Collaboration Between Financial Institutions and Law Enforcement to Protect the Financial System

With the growing convergence of fraud and money laundering, it’s imperative that financial institutions and law enforcement work together efficiently and effectively. As the Principal Section Chief for Asset Forfeiture and Money Laundering with the Department of Justice, Les Joseph has handled the application of asset forfeiture and money laundering statutes on cases that have incorporated elements of fraud, money laundering and outright criminal behavior, and works directly with federal prosecutors and law enforcement agencies. In this address, Mr. Joseph will discuss the key trends in money laundering and fraudulent activity, and detail the key steps institutional AML and fraud professionals can take to help law enforcement with its investigations and prosecutions.

Lester Joseph, Principal Deputy Chief, Asset Forfeiture and Money Laundering Section, DEPARTMENT OF JUSTICE

Lunch for Conference Participants and Speakers

GLOBAL FOCUS – Incorporating Effective OFAC and EU Compliance Strategies to Protect Your Financial Institution

Stephen Shine, SVP & Associate General Counsel, PRUDENTIAL FINANCIAL
Dennis Wood, Assistant Director, OFFICE OF FOREIGN ASSETS CONTROL
Michael Bowman, Managing Director, DAYLIGHT FORENSIC

Strengthening Customer Due Diligence and Your Bottom Line to Prevent Fraud and Ensure Regulatory Compliance

Moderator:
Terry Pesce, Anti-Money Laundering Service Line Leader, KPMG FORENSIC

Tammy Hurst, Sr. VP, BANK OF AMERICA INVESTIGATIVE SERVICES

Joe Salerno, Deputy Director of the AML Program, TD COMMERCE BANK

John Arterberry, US DOJ

Moderator:
Betty Santangelo, Partner, SCHULTE, ROTH &
ZABEL

Jeff Horowitz, Managing Director, Chief AML Officer, PERSHING LLC

Elizabeth Paige Baumann, Deputy Anti-Money Laundering Officer, FIDELITY INVESTMENTS

Michael Rufino, Sr. VP, Member Regulation, FINRA

Methods for Writing, Filing and Following Up on SARs to Aid Law Enforcement

Moderator:
Tim O’Neal Lorah, MORGAN STANLEY

Albert V. De Leon, Esq., Head of Compliance Advisory, Monitoring & Reporting-OCNA, ZURICH FINANCIAL SERVICES

Sal LaScala, Executive Director, DAYLIGHT FORENSIC

Tom Fleming, Asst. Director, FINCEN

Maintaining and Capitalizing on Your Reputation as a Trusted Financial Institution

Alan Sorcher, Associate General Counsel, SIFMA

John J. Davidson, Esq., Global Head of Anti-Money Laundering, E*TRADE FINANCIAL 

Policies for Mitigating the Latest Threats Relating to Cover Payments, Omnibus Accounts and other High-Risk Customers

Moderator:
Teresa A. Pesce, Anti-Money Laundering Service Line Leader, KPMG FORENSIC

Meg Zucker, Executive Director, Anti-Money Laundering, MORGAN STANLEY

Alan T. Ketley, SVP for AML Compliance, JPMORGAN CHASE

Implementing Real-World Tactics for Managing AML Regulations for Insurance Firms

Mary Rand, AMLP, CIA, CFSA, CBM, AVP, Anti-Money Laundering, AXA EQUITABLE

Martin Feuer, Chief Compliance Officer, North America, CAMS, ZURICH FINANCIAL SERVICES

Online Trading and Account Access: Methods for Mating Convenience with Confidence

Tammy Hurst, Sr. VP, BANK OF AMERICA INVESTIGATIVE SERVICES

John Arterberry, US DOJ