Post-Conference Workshops

WEDNESDAY, NOVEMBER 12, 2008

POST-CONFERENCE WORKSHOPS

Choose 1 half day workshop OR the Fraud Forum Symposium.

9:00 -12:00
Workshop A
Global Compliance Strategies
Half-Day
Workshop

 

8:30-9:00 Registration for Post-Conference Workshops

For institutions with customers located around the world, the importance of understanding money laundering regulations – as well as common transactions and business practices – in different regions is of paramount importance. In this workshop, participants will have the opportunity to join three in-depth sessions.

Each session will address the current money laundering and anti-fraud statutes in the region, current risk factors to consider when dealing with institutions or individuals from the area, and strategies for conducting the appropriate due diligence and operational strategies for working with customers in these jurisdictions.

9:15

Workgroup Session 1 (Choose A or B)

  • Canada

Heli Leesment, Director of Anti-Money Laundering Compliance, RBC FINANCIAL GROUP

  • East Asia (inc. SE Asia, India, Pakistan)

    • Irwin Nack, SVP, Head of BSA/AML Compliance, BANK OF TOKYO-MITSUBISHI UFJ

10:00Networking & Refreshment Break
10:15

Workgroup Session 2 (Choose A or B)

  • UK & Western Europe (inc. Isle of Man, Jersey, etc.)
  • Latin America & Caribbean (inc. Grand Cayman, Bermuda)
    •  
    Patricia Sullivan, Head of AML Compliance, UBS INVESTMENT BANK AMERICAS
    Karen O’Brien, CAMS, Managing Partner, GLOBAL COMPLIANCE SOLUTIONS
11:00Networking & Refreshment Break
11:15

Workgroup Session 3 (Choose A or B)

  • Middle East (inc. Israel, Iran, Iraq, Saudi Arabia, UAE)
  • Eastern Europe (inc. Russia, Balkans, etc.)

Leah Fenwick, FSVC

12:00-1:00Luncheon for delegates and speakers
1:00 -3:00
Workshop B
Improving Auditing and Testing
Procedures to Avoid Penalties
and Financial Losses
Half-Day
Workshop

 

One of the primary components of any compliant AML/BSA program is the presence of a robust, independent audit and testing program.

In this session, examiners from the OCC, FINRA and the IRS will discuss the criteria they use when evaluating independent testing programs.

You’ll also hear from AML officers, who will present their tips and best practices for designing audit and testing programs and methods for ensuring they work as designed and meet the needs of your organization. Hear from consultants on the common pitfalls and gaps, and how to mitigate them to improve your results.

Finally, you’ll get an opportunity to review redacted or hypothetical case studies to see where other institutions have done well or needed to address deficiencies.

Darren J. Donovan, National Forensic Banking & Finance Industry Leader, KPMG FORENSIC

Jack Sonnenschein, Managing Director and Global Head of AML Audit, BANK OF NEW YORK MELLON

John Wagner, Director of Bank Secrecy Act and Anti-Money Laundering Compliance, OCC

Shelia Haney, FINRA

3:30 Workshops Conclude