advance programm lec 10

7/30/2019 Advance Programm Lec 10

1/20

ADVANCE

PROGRAM

ABA/ABAMONEYLAUNDERING

ENFORCEMENTCONFERENCEForAMLandFraudRiskProfessionals

Youvegotcompliancequestions.

Wevegotcomplianceanswers.

October1719,2010

WashingtonMarriott

WardmanParkHotel

Washington,DC


2/20

2010ABA/ABAMoneyLaunderingEnforcementConference

Washington,DCOctober1719,2010 2

CORPORATEPARTNER

PLATINUMLEVELSPONSORS

GOLDLEVELSPONSORS

SILVERLEVELSPONSORS

WETHANKOURCONFERENCESPONSORS


3/20



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


4/20



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

[email protected].

HotelBusinessCenterLocatedontheLobbyLevel: (202)3282946

Hours:7:00am7:00pm(Monday Friday)

8:00am4:00pm(Saturday Sunday)

IRSStatementCostforunsponsoredmealsandreceptionsincludedinthe

registrationfeeforthismeetingisbeingcalculated. Thisinformationwillbeprovidedforyourtaxrecordsinlightof

theIRS50%deductionprovisionunderSection274(n)ofthe

InternalRevenueCode.

ONSITE

INFORMATION


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CONFERENCEMATERIALS

GOINGGREEN! Basedonyourpositivefeedback,wearereducingournegativeimpactontheenvironment

byofferinghandoutsexclusivelyonline. Youwill

haveanopportunitytogoonlinepriortothe

conferenceand

print

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,

[email protected]

MichelleVillabroza,Director,SeniorMeetingPlanner,

[email protected]

JaimeOnque,MeetingPlanner,[email protected]

RegistrationManagers

MichelleStrachan(lead)andCandaceBoone,[email protected]

Exhibits/Sponsorships

LindaSingleton,SeniorBusinessDevelopmentManager,

[email protected]

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


6/20



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,

[email protected]

ReginaAshmon,CommitteesCoordinator,2026621512,

[email protected]

StaceyBrown,MembershipCoordinator,2026621521,

[email protected]

CarolRose,CLEandMeetingsCoordinator,2026621519,

[email protected]

RobertSnoddy,OutreachCoordinator,2026621516,

[email protected]

ABOUTTHEAMERICAN

BANKERSASSOCIATION

ABOUTTHEAMERICAN

BARASSOCIATION


7/20



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


8/20



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.


9/20



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


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


10/20



1C:AMLTechnology: IsYourUseofTechnology

EffectiveandEfficient?

ForLargeand/orComplexBanksSingleSession


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



JohnR.Topczewski,SeniorVicePresidentandChiefCompliance

Officer, JohnsonBank,Racine,WI

1E: LegalRisksinFraudandAML

SingleSession


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


11/20



MOVETONEXTSESSION2:453:00PM

2A: NewIranianSanctionLawRepeatedin4E


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


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


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


12/20



2E:InternationalAMLLegalIssuesSingleSession


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:


13/20



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


FEATUREDSPEAKER

JamesH.Freis,Jr.,Director,FinancialCrimesEnforcement

Network(FinCEN),

Washington,

DC

POWERSESSIONS

Choiceofthree.

Seatingisfirstcome/firstserved.

7:00 8:00AM

Monday,October18,2010


14/20



GENERALSESSION

TrendsinCriminalandRegulatory

EnforcementActions8:5510:30AM


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


Moderator:

CarolM.Beaumier,ManagingDirector,Protiviti,NewYork,NY

Speakers:

See1Aforspeakers.

3B:LessonstoLearnfromRecentRegulatory

EnforcementActionsandCriminalProsecutions

Repeatedin

Session

4A


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


11:00AM12:15PM


15/20



3C: CantWeAllJustGetAlong? Creatingan

EffectivePartnershipwithMSBsandBankersRepeatedinSession4C


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


3E: ForeignCorruptPracticesActRepeatedinSession4D


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



York,NY

LUNCHEONWITHSPEAKER12:151:45PM


FEATUREDSPEAKER:

Tobe

announced

soon.

Sponsoredby:

DESSERT

IN

THE

MARKETPLACE

1:452:15PM


16/20



4A:LessonstoLearnfromRecentRegulatory

EnforcementActions

and

Criminal

Prosecutions

RepeatedfromSession3B


4B: HumanTraffickingandAMLControlsSingleSession


Speakers:

ArthurD.Middlemiss,ExecutiveDirector,LegalandCompliance,

JPMorganChase

Bank,

NA,

New

York,

NY

JamesSpero,USDepartmentofHomelandSecurity,Washington,DC

4C: CantWeAllJustGetAlong? Creatingan

EffectivePartnershipwithMSBsandBankersRepeatedfromSession3C


Moderator:



Speakers:

See3Cforspeakers.

4D: ForeignCorruptPracticesActRepeatedfromSession3E


4E: NewIranianSanctionLawRepeatedfromSession2A


GENERALSESSION

AnInsideLookatWashington3:455:15PM


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:


2:15PM3:30PM


17/20



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


18/20



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


19/20



GENERALSESSION

AsktheRegulators8:3010:00AM


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.


20/20




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


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


FEATUREDSPEAKER

LannyA.

Breuer,

Assistant

Attorney

General,

Criminal

Division,U.S.DepartmentofJustice,Washington,DC

FINALDESSERTINTHEMARKETPLACE2:002:45PM

CLOSINGGENERALSESSION

PrepaidAccessandElectronicBanking:

NewRegulationandNewFrauds2:454:00PM


Moderator:



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

advance programm lec 10

Documents