09.10.05 - Cuba – US rules – How does the US rules update of September 3, 2009 Impact My Organization?

The U.S. Department of the Treasury's Office of Foreign Assets Control (OFAC) issued Cuban Assets Control Regulations, 31 C.F.R. Part 515 (CACR), on September 3, 2009. The U.S. goal is to help Cuban citizens have greater contact with separated family members in the United States, and increase the flow of remittances and information to the Cuban people. How does this rule impact American financial institutions? What should you be doing to comply with the new rule?

In this informative briefing, you will learn about:

• The 9/3/09 amendments to the CACR eliminate the prior restrictions ($300 maximum every 3 months only to immediate family members: grandparents, parents, siblings, children). Now, an unlimited amount of dollars may be sent any time to family members up to the second cousin level (common great grandfather).
• Political motivation for easing remittance restrictions
• Procedures U.S. depository institutions must follow to register for the OFAC general license
• The competition: authorized Money Service Providers (MSPs) remitting under specific may now remit funds to Cuba under a general license

Speaker:

Marilyn Bruno, J.D., Ph.D.
Bruno Consulting, LLC
Dr. Bruno served as an economic officer in the U.S. Foreign Service for 14 years, specializing in anti-money laundering (AML), counterterrorist finance (CTF), Bank Secrecy Act (BSA) compliance, and sanctions both at the State Department and in overseas embassies. She participated in the AML/CTF policy development with OFAC and other U.S. agencies, the UN, FATF and other domestic and international organizations that resulted in the designation of individuals and entities on sanctions lists. She also participated in the team assessing defenses to designations, which resulted in de-listing individuals and entities.

October 20, 2009 - Protecting your Institution from the Risks Posed by No-Cash Transactions

Typically, no-cash transactions originate from financial institutions which are regulated by AML laws. This can create a false sense of security, as these companies are often perceived as being lower risk for money laundering activities. In this web seminar, learn why companies who deal with no-cash transactions are vulnerable to money laundering and how to implement AML programs to protect your organization from exposure to risk.

Speakers:

Jessica J. Vanden Berg
U.S. Bancorp
Corporate AML Compliance

Lisa M. Belle
Associate General Counsel
Anti-Money Laundering Legal
Citi Global Wealth Management

Who Should Attend:

• Bankers
• Chief Compliance Officers
• AML Compliance Officers
• AML and Compliance Training Managers
• Consultants
• Attorneys
• Money Laundering Reporting Officers
• Compliance personnel at Insurance Companies
• Money Services Businesses
• Credit/Debit Card Companies

October 22, 2009 - Asia Pacific. Adopting Best Practices for Filing Suspicious Transaction Reports

How can you differentiate between unusual and suspicious activity? When is it time to alert law enforcement? What information should (and should not) be included on a Suspicious Transaction Report (STR)? These are common questions asked by AML professionals around the world. Join this special web seminar and walk through detailed examples of real STRs with get step-by-step guidance on streamlining your information gathering and reporting procedures.

Optimize your reporting techniques after understanding:

• Your legal reporting obligations
• Which types of activity should/shouldn’t be reported
• The details law enforcement needs to facilitate effective investigations
• The importance of avoiding defensive STR filings

Speakers:

Rosalind Lazar, CAMS
Regional APAC AML Compliance
Citibank, N.A., Singapore

Roslind's role includes oversight of AML policies across all Citigroup’s businesses in the Asia Pacific Region. She was recently invited to conduct AML/ CFT workshops / training for banks in India and is a contributor to the “Commentary of the Eurasian Group (EAG) Operational and Information Standards.”

Parthasarathy Sundararajan
Manager - Transaction Monitoring EU,NL&NA, Compliance Service Center
ABN AMRO Central Enterprise Services Pvt. Ltd.

Parthasarathy has had numerous operations roles with exposure to gamut of banking activities including Audit, Compliance, Asset and Liability Operations. He has previously worked with Standard chartered and HSBC Operations. He has a Masters in Business Administration with Finance as specialization.

Who Should Attend:

• Bankers
• Chief Compliance Officers
• AML Compliance Officers
• AML and Compliance Training Managers
• Consultants
• Attorneys
• Money Laundering Reporting Officers
• Compliance personnel at Insurance Companies
• Money Services Businesses
• Credit/Debit Card Companies

November 6, 2009 - Identifying Illegal Drug Trends to Minimize Your Exposure to Money Laundering

According to the National Drug Intelligence Center (NDIC), Mexican and Colombian Drug Trafficking Organizations generate, remove and launder between $51 billion and $95 billion in wholesale drug proceeds annually and new threats are emerging every day. What can your institution do to refine its risk management model in response to new drug trends? In this web seminar, learn about new trends in the drug market and hear strategies to identify additional red flags that will protect your organization from money laundering.

You will also learn:

• How drug traffickers create money laundering schemes to hide criminal operations
• How to employ Enhanced Due Diligence on accounts from potential drug havens
• What you can do to prevent laundering of drug proceeds within your organization

Speakers:

Tyler Hatcher
Senior Analyst Special Agent
IRS CI
Washington DC

Tyler is the lead financial investigator on DEA Financial Investigations Group (FIG), experience in financial investigations related to trade based money laundering, bulk cash smuggling, international money laundering. Currently assigned to Global Financial Crimes Section Washington, DC, and oversee IRS-CI's national money laundering programs

Donald Charles Semesky, Jr.
Chief, Office of Financial Operations (Retired)
U.S. Department of Justice
United States Drug Enforcement Administration

Don Semesky is currently an independent consultant, after spending 35 years in Federal law enforcement. He spent 30 years with IRS-Criminal Investigation (IRS-CI), and the last 5 with the United States Drug Enforcement Administration (DEA) as the Chief of the Office of Financial Investigations. From 2000-2003 he served as the Anti-Money Laundering Policy Advisor for the Office of National Drug Control Policy (ONDCP), serving on the Colombian Black Market Peso Exchange Working Group, the Hawala Working Group, the Money Laundering Working Group, and the High Intensity Financial Crime Area Working Group. He was also selected to serve as a member of the U.S. delegation on the Black Market Peso Exchange, Multi-Lateral Group of Experts comprised of representatives from the U.S., Colombia, Venezuela, Panama and Aruba. Mr. Semesky now consults with DEA on policy and strategic initiatives relating to DEA’s financial enforcement program.

Who Should Attend:

• Bankers
• Chief Compliance Officers
• AML Compliance Officers
• AML and Compliance Training Managers
• Consultants
• Attorneys
• Money Laundering Reporting Officers
• Compliance personnel at Insurance Companies
• Money Services Businesses
• Credit/Debit Card Companies

12 November 2009 - Europe. Developing an Effective Sanctions Management Program

European compliance officers are obligated to follow European Union, United Nations and other country-specific sanctions requirements. Keeping up with differing regulations poses a series of unique challenges including overlapping lists, translation issues and lack of identifiers. In this web seminar, learn how to develop a holistic approach to sanctions management that satisfies your requirements and minimizes your exposure to risk. Understand your sanctions management requirements and ensure your organization remains fully compliant.

You will learn:

• Techniques to keep your Enhanced Due Diligence system current with regulatory changes
• How to balance multi-jurisdictional regulations
• What “tricks of the trade” successful organizations utilize to remain compliant

Speakers:

Reza Zaidi
Executive Vice President
Compliance and Operational Risk
Gatehouse Bank

Reza is responsible for compliance, AML, operational risk and internal audit at Gatehouse Bank, a new Islamic Investment Bank. Prior to Gatehouse Bank, he lead compliance and AML teams for Barclays across Europe, Middle East and Asia. He also worked at Barclays as part of the Executive team, to help build Barclays business in the UAE and wider GCC lauding the Risk, Compliance and AML function in Dubai. Reza is FSA registered as CF10 and CF11.

Hans van der Drift, CAMS
Compliance and Risk Officer
van Lanschot Bankiers (Luxembourg) S.A.

Hans is the compliance and risk officer with van Lanschot Bankiers, focusing primarily on private bank clients. Past experience includes compliance officer at ABN ARMO, Head of International Commercial Real Estate Financing at Seisto Keskus Osake Pankki of Finland - Luxembourg and Head of Commercial Banking at ABN Bank IJmuiden the Netherlands. Hans is the Co- author of the Compliance Charter and Compliance Policy issued by the ALCO and a regular presenter for the ATTF.

Who Should Attend:

• Bankers
• Chief Compliance Officers
• AML Compliance Officers
• AML and Compliance Training Managers
• Consultants
• Attorneys
• Money Laundering Reporting Officers
• Compliance personnel at Insurance Companies
• Money Services Businesses
• Credit/Debit Card Companies

17 de noviembre del 2009 - EE.UU. Levanta las Barreras para los Envíos de Remesas a Cuba – Dudas, Desafíos y Riesgos para todos los Participantes

Estados Unidos probablemente agilice la aprobación de las regulaciones que levantarán la mayoría de las restricciones que existen para el envío de dinero desde Estados Unidos hacia Cuba. Desde que EE.UU. realizó este histórico gesto hacia Cuba se ha generado un gran interés en las remesas desde EE.UU. hacia la isla caribeña. Esta medida levantaría las trabas a las transferencias de dinero y viajes de cubanos-estadounidenses hacia Cuba por primera vez en tres décadas. De acuerdo con las regulaciones vigentes, aplicadas desde julio de 1963, las remesas a Cuba sólo pueden ser enviadas a familiares cubanos y pueden ser de hasta US$300 por trimestre por familia y no pueden ser remitidas a miembros del Partido Comunista Cubano (PCC). A pesar del enorme potencial económico que este cambio hacia Cuba puede significar para los negocios de servicios monetarios, éstos deberían esperar la publicación de las nuevas regulaciones antes de cambiar de comportamiento frente a la isla.

En este seminario, aprenda y aclare dudas sobre lo que podrían significar estos cambios para su institución.

Oradores

Marilyn Bruno
Es una reconocida autoridad en temas de finanzas, comercio exterior, y derecho internacional. Trabajó 15 años en el cuerpo diplomático del Departamento de Estado de EE.UU., y en las Embajadas de EE.UU. en Grecia, Costa Rica, y Barbados/Caribe del Este. Marilyn se destacó por su colaboración con OFAC en las "designaciones" de individuos y entidades involucrados en el lavado de dinero y la financiación del terrorismo. Participó en los equipos norteamericanos e internacionales desarrollando la política de sanciones contra individuos, entidades, instituciones financieras y jurisdicciones denominados enemigos de los EE.UU., y jurisdicciones no-cooperativas con normas contra el lavado de capitales. Durante los 20 años anteriores, Marilyn trabajó en el sector privado, como vicepresidente de Capital Bank (Miami), corredora de bolsas de valores y de futuros para empresas norteamericanas y japonesas, entre otros cargos. Marilyn es doctora en filosofía de la Universidad de Nueva York y doctora en leyes de la Escuela de Derecho de Nueva York.

November 18, 2009 - Tailoring Your AML Program to Comply with the Foreign Corrupt Practices Act

The Foreign Corrupt Practices Act (FCPA) addresses requirements for accounting transparency and bribery of government officials and PEPs. While it seems straightforward, the definition of PEPs varies significantly between countries and can be complicated to manage—especially within global organizations. Developing an FCPA-compliant AML program is critical to prevent financial and reputational repercussions. This web seminar has been specially created to help you comply with the FCPA requirements of both domestic and international accounts.

You will learn:

• How the FCPA impacts your organization
• What “corrupt intent” is and how your organization can apply the “business purpose test”
• How to identify PEPs and apply Enhanced Due Diligence

Speakers:

Cari Stinebower
Associate
Wiley Rein LLP

Cari counsels clients on compliance with U.S. economic sanctions, the Bank Secrecy Act, the Foreign Corrupt Practices Act (FCPA) and export controls. She has worked with clients to develop compliance programs, conduct anti-money laundering and Office of Foreign Assets Control risk assessments, conduct internal investigations and respond to government investigations. Ms. Stinebower often works with multinational corporations to navigate the complex web of U.S. sanctions and export controls that can implicate virtually any U.S. dollar denominated transaction. Prior to her work at Wiley Rein, she served as counsel for the U.S. Department of the Treasury's OFAC.

Darren J. Donovan
Principal
KPMG LLP

Darren specializes in financial fraud, due diligence, anti money laundering, FCPA and fraud/integrity risk management. He has extensive experience in assisting clients in government matters involving Deferred Prosecution Agreements (DPAs), Cease and Desist Orders (C&Ds) and Memoranda of Understanding (MOUs). Darren’s previous experience includes an executive management role with a leading investigation consulting firm; service with the Criminal Bureau of the Massachusetts Attorney General’s Office, and Fidelity Investments’ corporate investigations group.

Who Should Attend:

• Bankers
• Chief Compliance Officers
• AML Compliance Officers
• AML and Compliance Training Managers
• Consultants
• Attorneys
• Money Laundering Reporting Officers
• Compliance personnel at Insurance Companies
• Money Services Businesses
• Credit/Debit Card Companies

November 19, 2009 - Asia Pacific. Managing the KYC Due Diligence Challenges of a Cash-Based Society

Since cash transactions typically leave no trail, it can be challenging to identify potentially suspicious activity. Your customers may not be willing to divulge details about the origins of their funds, which presents roadblocks to assessing customer risks and performing adequate due diligence. This web seminar provides step-by-step guidance on developing and implementing an efficient KYC program within a cash-based society.

You will learn:

• Best practices for conducting an effective customer identification program
• Techniques to emphasize the importance of compliance to customer-facing personnel
• How to verify the source of cash-based transactions

Speakers:

Hemanshu Parekh, FCA, CAMS, LLB, B. Com
Manager , Regional Transaction Surveillance Centre Asia
ABN AMRO Bank N.V.
Singapore

Hemanshu is a Chartered Accountant and lawyer from India and a Certified Anti Money Laundering Specialist. He has over 10 years of experience in various industries including; advertising, insurance, telecom and banking. He has worked in the fields of Audit and Compliance. Currently he works with Royal Bank of Scotland, Singapore as Transactions Surveillance Manager – Asia.

Srinivasan Velamur, CAMS,M.Sc.,MFM, CAIIB
Asst. Vice-President – Compliance
Royal Bank of Scotland Manufacturing Unit,
Chennai, India

Srinivasan manages all aspects of regulatory Compliance in RBS manufacturing unit which includes monitoring of sanctions, implementation of AML norms, adherence to KYC guidelines, maintenance of data protection, data privacy, performing risk assessment etc. He also conducts Compliance training for staff on an ongoing basis. He has more than 25 years of banking experience in various facets of banking including risk and audit in both nationalised and new private sector banks. He holds masters degree in Finance and Statistics. He is also a certified associate of Indian Institute of Bankers.

Who Should Attend:

• Bankers
• Chief Compliance Officers
• AML Compliance Officers
• AML and Compliance Training Managers
• Consultants
• Attorneys
• Money Laundering Reporting Officers
• Compliance personnel at Insurance Companies
• Money Services Businesses
• Credit/Debit Card Companies

December 4, 2009 – Are Money Launderers using more Tax Havens and Shell Corporations?

With the troubled economy comes a rise in individuals plotting to take advantage of the financial system for personal gain. More than ever before, shell companies and tax havens are a tempting vehicle for moving and masking funds.Tax Justice Network suggests that global tax revenue lost to tax havens exceeds US$255 billion per year. What measures can your financial institution take to verify beneficial owners and sources of monies from tax haven countries? Join this targeted web seminar and ensure your due diligence correctly identifies and prevents these suspicious activities.

You will learn:

• Current trends with shell companies and tax havens as illegal proceeds move to the United States
• About tax shelters including off shore companies and other financing arrangements which can move illegal funds

Speakers:

Ana T. Barnett
Stearns Weaver Miller Weissler Alhadeff & Sitterson, P.A.
Ana T. Barnett is a Shareholder in the Litigation Department. Ms. Barnett has over 25 years of federal litigation experience at both the trial and appellate levels. In addition to general complex litigation matters, her litigation practice focuses on defending civil, criminal and regulatory enforcement proceedings involving the Bank Secrecy Act, anti-money laundering laws, and antitrust laws. Prior to joining the Firm, Ms. Barnett as an Assistant United States Attorney for the Southern District of Florida, Chief of the Civil Division and the Asset Forfeiture-Money Laundering Division.

Alina Amanci, CAMS
Independent Consultant
Alina is a former AML Associate Director at UBS. With 15 years of experience in the AML and Compliance arenas, the focal points of her expertise are overseeing intricate investigations, CIP/KYC and enhanced due diligence processes on domestic and international fronts for broad client bases including PEP’s, sensitive industry affiliate parties, correspondent banks and other foreign financial institutions, ultra high net worth individuals, trusts and complex offshore corporate structures, hedge funds. She is also a trainer to business and compliance units and serves as an advisor on complex AML issues. She is fluent in: English, Portuguese, Spanish, Romanian, and conversational in French.

Who Should Attend:

• Bankers
• Chief Compliance Officers
• AML Compliance Officers
• AML and Compliance Training Managers
• Consultants
• Attorneys
• Money Laundering Reporting Officers
• Compliance personnel at Insurance Companies
• Money Services Businesses
• Credit/Debit Card Companies

January 8, 2010 - How to Complete an Effective SAR and How Law Enforcement Uses Them

Compliance professionals complete countless SARs each year for the benefit of law enforcement. How can you ensure that your SAR provides the critical information needed to initiate an investigation? Is your SAR writing and documentation process sufficient? This session provides the opportunity to learn directly from the IRS-CI National SAR Manager and Liaison to FinCEN how various law enforcement agencies use SARs and other BSA data to identify criminal activity.

Who Should Attend:

• Bankers
• Chief Compliance Officers
• AML Compliance Officers
• AML and Compliance Training Managers
• Consultants
• Attorneys
• Money Laundering Reporting Officers
• Compliance personnel at Insurance Companies
• Money Services Businesses
• Credit/Debit Card Companies

Speaker:
Maurice E. Clark
Special Agent, Senior Analyst
IRS-CI Liaison to FinCEN
Special Agent Clark has been in federal law enforcement since for over 25 years. In 2001, S/A Clark created the North Texas SAR Review Task Force, which pioneered a number of new strategic concepts and investigative techniques with respect to SAR review. His task force quickly became widely recognized as a model for other SAR Review teams across the nation. S/A Clark is currently the IRS liaison to FinCEN in Vienna, VA, and is responsible for managing the national SAR Review program.

January 26, 2010 - What You Should Know About The Fight Against Mortgage Lending Fraud

Criminals are not able to conduct mortgage fraud the way they used to, leading to new schemes that threaten to jeopardize your organization. Financial institutions have had success in combating the recent wave of criminal activity, but continued diligence is required to stop the latest schemes. Join us to learn about new trends, key indicators and detection methods than can protect your organization from criminal abuse.

Who Should Attend:

• Bankers
• Chief Compliance Officers
• AML Compliance Officers
• AML and Compliance Training Managers
• Consultants
• Attorneys
• Money Laundering Reporting Officers
• Compliance personnel at Insurance Companies
• Money Services Businesses
• Credit/Debit Card Companies

Speaker:
Robert Hein
Senior Fraud Investigator
Freddie Mac

Robert Hein is a Senior Fraud Investigator with Freddie Mac’s Mortgage Fraud Investigation Unit in McLean, Virginia. His investigative territory covers all 50 states, where he directs and investigates complex mortgage fraud-for-profit schemes. Robert actively assists numerous government agencies with mortgage fraud investigations including the FBI, U.S. Attorney’s Office, U.S. Postal Inspector, IRS-CID, HUD Inspector General, state regulators and state or local law enforcement. Since joining Freddie Mac in 2007, Robert has become one of Freddie Mac’s spokespersons on fraud, conducting presentations and educational seminars to regulators and law enforcement. Prior to joining Freddie Mac, Robert worked with the Denver Postal Inspection Service and on the Primary Market with E*Trade Wholesale Lending.

15 de febrero del 2010 - Conexión Lavado de Dinero-Fraude: Esfuerzos para Integrar los Controles de Ambos Delitos

A pesar de que son diferentes delitos, el lavado de dinero y el fraude se encuentran íntimamente relacionados, y en los últimos años muchas instituciones financieras han estado analizando herramientas, recursos e información en común que las ayuden a atacar ambos delitos. Ha crecido la presión para que las instituciones financieras integren los esfuerzos de control de ambos

¿Cómo el fraude ha impactado el papel de los oficiales de cumplimiento?
¿Cuáles son las expectativas de las autoridades, reguladores y otros colegas?

Escuche a expertos analizar cómo un mayor énfasis en fraude está cambiando el escenario para los profesionales ALD y por qué es fundamental trabajar en forma muy estrecha con los departamentos de fraude para lograr mejores resultados.

10.02.16 - Combating Money Laundering in a Global Context

In the modern information age, money launderers are able to globalize their criminal activity. Institutions face many challenges in operating multinational businesses. The FATF and FIUs have developed guidelines on how to share information and work with other countries. How can your institution navigate within all these different regimes? How should your AML department determine what international cases should be reported and further examined?

Who Should Attend:

• Bankers
• Chief Compliance Officers
• AML Compliance Officers
• AML and Compliance Training Managers
• Consultants
• Attorneys
• Money Laundering Reporting Officers
• Compliance personnel at Insurance Companies
• Money Services Businesses
• Credit/Debit Card Companies

Speaker:

Robert Pasley
Independent Consultant

Robert Pasley is an Independent Consultant providing legal and expert services in the area of anti-money laundering as well as financial regulatory and enforcement matters.  He has been a consultant for the International Monetary Fund, American Express, the Financial Crimes Enforcement Network (FinCEN), the law firm of Bryan Cave and the American Bankers Association (ABA).  Mr. Pasley researched and wrote the ABA’s Recommendations for Bank Secrecy Act (BSA) Reform which was submitted to the new administration.  As part of this effort, he put together a history of the country’s BSA legislation and regulations starting before 1970, which was attached as an Appendix to the Report. 

Previously, Mr. Pasley was a Senior Vice President at Bank of America and, from 1975 to 2005, was an attorney and then an Assistant Director of the Enforcement and Compliance Division of the Office of the Comptroller of the Currency (OCC).  At the OCC, he was responsible for investigating and taking, or supervising, administrative actions against national banks and their officers and directors and was the point person on anti-money laundering cases.  Mr. Pasley also had assignments as the Acting General Counsel for the District of Columbia’s Office of Banking and Financial Institutions and as a Special Assistant U.S. Attorney for the Washington D.C.’s U.S. Attorney’s Office.  Mr. Pasley has written and spoken extensively on BSA as well as banking legal and policy issues.  He is an honors graduate of Hamilton College, majoring in English.  He is also a graduate of the Cornell Law School and of the Stonier Graduate School of Banking.  His honors thesis at Stonier was on the Consolidation of the Banking Agencies. 

February 12, 2010 - Regional Focus: Adopting Best Practices to Improve AML Compliance in Asia

Complying with Asia’s AML/CFT regulations requires a multi-faceted approach to money laundering controls. With the expansion of Asia’s baking sector, it’s essential to strike a balance between pursuing new business and applying appropriate levels of due diligence. And, with risks related to corruption, terrorist financing and casino-based money laundering on the rise, failing to adequately bolster your defenses against these crimes can place your institution in greater jeopardy.

How have successful institutions modified their AML/CFT programs to accommodate regional requirements? What risk-based practices should your organization adopt to mitigate its exposure in these areas? Let this panel of regional compliance experts guide you through the nuances of AML compliance in Asia and teach you how to implement specific controls to ensure multi-jurisdictional compliance.
You will learn:

• The best approach to navigating multiple regulatory regimes
• How to interpret local definitions of PEPs
• The essential questions to ask before establishing a banking relationship in Asian countries
• How to adjust your transaction monitoring system to account for common name spellings
• Keys to conducting effective due diligence within the region’s cultural and social framework

Speakers:

Daniel AU Sek Bong
Daniel is currently the Country AML Officer at Deutsche Bank Hong Kong. Daniel joined Deutsche in 2008, and previously worked on AML and in-house compliance roles at BNP Paribas Bank, JPMorgan Chase and Credit Suisse, as well as compliance consulting roles at PricewaterhouseCoopers and Ernst & Young. Daniel is a graduate of Cambridge University, a UK chartered accountant, and a CFA and FRM. He is a frequent speaker at international AML conferences, and frequently lectures financial risk management and accounting courses.

Patricia Sullivan
Patricia is currently the APAC Regional Head of Anti-Money Laundering, Sanctions and Anti-Bribery Compliance for UBS Investment Bank, based in Hong Kong. Patricia joined UBS in 2006, and before moving to Hong Kong, was the Regional Head of AML Compliance for the Americas Region of UBS Investment Bank, covering the US, Brazil, Mexico and Canada. Prior to joining UBS, her career spans from working in the Manhattan’s District Attorneys office on cases involving securities and financial fraud; Deloitte & Touché as securities litigation counsel and her own law firm in 2002 specializing in criminal defense and litigation. Patricia received a BA from Columbia University and a JD from Fordham University; and is admitted to the New York State Bar.

15 de marzo del 2010 - Maximizar el Uso de Planillas de Cálculo Para Apoyar en Tareas de Investigación y Diligencia Debida

En este seminario usted aprenderá cómo una herramienta que usted tiene en sus manos, Excel^©, o cualquier software similar de planillas de cálculos, puede ayudarle a resolver con velocidad los enigmas en las transacciones de los clientes y los casos investigados en su organización. Generalmente aceptamos tecnologías nuevas rápidamente sin comprender primero la anterior. Usted utiliza Excel^© en su trabajo, pero, ¿lo utiliza bien? ¿Aprovecha totalmente sus características básicas — y las avanzadas — que la convierten en una poderosa herramienta ALD que debería estar en su arsenal?

Aprenda datos y trucos para descifrar el enigma que pueden representar sus clientes, las investigaciones o los objetivos de su diligencia debida. Usted aprenderá a utilizar esta dinámica herramienta ALD para descubrir una gran variedad de posibilidades que lo pueden guiar correctamente a los clientes adecuados, o a un blanco para una investigación o proceso de diligencia debida. Usted podrá ahorrar valiosísimo tiempo en sus tareas ALD y aprender todos los trucos en estas planillas de cálculo para incrementar la productividad de las operaciones ALD de su organización.

(Este es un seminario independiente y no afiliado, ni autorizado, ni auspiciado o aprobado por Microsoft Corporation.)

Orador:

Juan Llanos

15 de septiembre del 2010 - La Convergencia entre Riesgo y Administración del Rendimiento Comercial - Cómo Cumplimiento Puede Convertirse en un Parámetro Estratégico de Creación de Valor

En el duro ambiente económico actual, es crítico que los profesionales de cumplimiento sean vistos como piezas claves de la organización en lugar de obstáculos para el ingreso de capital o para el desarrollo económico. En este seminario usted aprenderá estrategias y técnicas claves para alcanzar sus objetivos en lo que respecta a la administración de riesgos y a la vez añadir valor al negocio de la organización en general. Con la información clave que cualquier programa de monitoreo puede recabar, se puede crear una excelente herramienta no solo de protección sino que sirva para elaborar un sólido esquema de mercadeo.

13 de octubre del 2009 - Casos Reales de Estudio: Las Enseñanzas que Dejaron los más Importantes Casos Internacionales en el Último Año y los Esquemas que se Detectaron

A medida que el mundo ALD crece, surgen más casos disponibles para brindarles lecciones muy valiosas sobre los errores que deben evitar cometer. Las mejores enseñanzas en el mundo ALD vienen de casos reales, aquellos que podemos identificar con nuestras operaciones diarias. Este Seminario por Internet analizará los asuntos más importantes de los últimos 12 meses para tratar de descubrir las técnicas y mecanismos más recientes utilizados por los lavadores. Estos casos van desde las permutas venezolanas a los esquemas piramidales—o Ponzi—en Colombia y Estados Unidos. Estos últimos casos nos muestran reveladoras transgresiones de leyes y regulaciones ALD en todo el mundo. Cuando se suscitan casos de este tipo que adquieren, en ocasiones, categoría de hito, proveen lecciones esclarecedoras sobre lo que usted debe hacer para evitar debacles similares.

Las lecciones de estos casos son aplicables a varios sectores integrantes de la institución financiera, incluidos:

• recursos humanos
• seguridad
• y la junta directiva, quienes hoy más que nunca son el blanco de reguladores y accionistas, bajo su propia responsabilidad y a propia costa.

Aquí, usted aprenderá de qué forma estas instituciones perdieron el rumbo y, lo más importante, cómo evitar imitarlas y de qué manera librarse de un daño en sus finanzas y en su reputación.

Oradores:

Luis O. Rivera
Socio de MRW Consulting Group, LLP
MRW Consulting Group, LLP es una firma que se especializa en delitos financieros, litigios sobre cuestiones impositvas—civil y penal—, investigaciones ALD y de fraude. Antes de MRW, Luis trabajó en una firma de contabilidad en Florida en temas relacionados con cuestiones impositivas. Luis expandió las prácticas de la firma para incluir cuestiones ALD de carácter internacional. Luis cuenta con una experiencia de 28 años con la agencia de rentas de EE.UU., IRS (Internal Revenue Service) y la Agency for International Development (USAID). Luis dirigió operaciones con más de 160 empleados. También ocupó el cargo de agregado del IRS donde aportó pericia financiera y asesoramiento sobre lavado de dinero y fraude al IRS, el Departamento del Tesoro de EE.UU. y la embajada de EE.UU.

Manuel Lavalle
Analista de cumplimiento para Standard Chartered Bank en Miami. Manuel cuenta con una experiencia de 22 años en una gran variedad de puestos bancarios, que van desde cumplimiento hasta control interno, contaduría, impuestos y análisis financiero en instituciones bancarias locales e internacionales. Previamente, y durante casi 8 años, se desempeñó como Control Supervisor de operaciones para American Express Bank International, antes de ser adquirido por Standard Chartered. Donde, entre otras tareas, realizó detallados controles, análisis e interpretaciones de las revisiones de control y también ayudó y participó con auditores internos, externos y exámenes de la Reserva Federal. Entre 1985 y 1994 se desempeñó como contralor para el Banco de Comercio en Perú. Manuel se graduó de contador de la Universidad Inca Garcilaso de la Vega de Perú y realizó varios seminarios y cursos de capacitación en temas ALD, SOX, etc.

February 5, 2010 - How to Prepare for Hedge Fund Regulations

Several different legislative proposals have been put forward in the recent past in an effort to regulate hedge funds. If these changes are enacted, what will they mean for AML and securities compliance professionals? Also, before legislation is enacted, there are current due diligence measures that financial institutions can take to address hedge fund client accounts in addition to due diligence measures taken by hedge funds themselves. Understand the chronology of hedge fund legislation to present, some current due diligence measures currently employed followed by an overview of current hedge fund compliance and the related AML effects.

Who Should Attend:

• Bankers
• Chief Compliance Officers
• AML Compliance Officers
• AML and Compliance Training Managers
• Consultants
• Attorneys
• Money Laundering Reporting Officers
• Compliance personnel at Insurance Companies
• Money Services Businesses
• Credit/Debit Card Companies

Speakers:
Ross Delston, CAMS
Founder, GlobalAML.com

Ross is an attorney, Certified Anti-Money Laundering Specialist (CAMS) and former Federal banking regulator who specializes in BSA/AML compliance at GlobalAML.com, a Washington, DC-based consulting firm he founded in November 2006. He advises financial institutions, including hedge funds and investment advisers, industrial companies, and law firms on BSA/AML issues such as independent audit, trade-based money laundering, and risk assessment. Ross has been a legal consultant to the International Monetary Fund on AML and banking matters since 1997 and has participated in the AML assessments of nine offshore financial centers, most recently, Bermuda. Ross is also the Co-Chair of the American Bar Association’s International AML Committee. He is the author of numerous articles on AML matters and has spoken on AML issues at seminars and conferences throughout the world, including Aruba, Colombo, Curacao, Dalian, Grand Cayman, Kiev, Kuwait City, Lima, London, Manila, Minsk, Singapore, Suva and Vienna.


Chris Ernst, CAMS, CFE, JD, CPA
Managing Director, Kahler Forensic Solutions, LLC

Chris has been at the forefront of AML/KYI (Know Your Investor) in hedge funds, and has published several articles on the subject in publications such as ACAMS Today and Fraud Magazine. As managing director at Kahler Forensic Solutions, Chris has built strong partnerships with hedge fund professionals and leading hedge fund compliance firms to form a high quality hedge fund AML/KYI product.

Patrick F. Shea
Partner | Managing Director

Prior to joining HedgeOp in August of 2003, Patrick served as Assistant Counsel for Baring Asset Management, Inc., where he was responsible for compliance oversight and legal support in the areas of product development, marketing and distribution. Prior to this, Patrick worked for Scudder Investments with responsibility for various compliance functions within its retirement plan and trust departments. Patrick received a JD degree from New England School of Law and a B.A. from the College of the Holy Cross. Patrick is certified as an Investment Adviser Certified Compliance Professional (IACCPsm) by National Regulatory Service's Center for Compliance Professionals. Patrick currently runs HedgeOp's Boston office.

Judith E. Gross
Founder and Principal of JG Advisory Services LLC

Judith Gross, Esq. is the founder and principal of JG Advisory Services LLC, which provides consulting services to hedge funds, investment advisers and related industry service providers on compliance, risk and regulatory matters. JG Advisory Services was founded in 2005 and has worked with a variety of clients, ranging from very small hedge fund start-ups to large financial service institutions. JG Advisory Services is a leader in the creative use of technology solutions.

Ms. Gross has over 20 year’s experience on Wall Street. Her experience prior to founding her company includes a senior management role in a large asset management division of a broker-dealer; securities and investment counsel to the buy-side in one of Wall Street’s largest financial services firms; and associate at a major law firm.

Ms. Gross is a FINRA arbitrator and has presided over multiple cases since 1993. She has also served as an expert witness on several litigation cases related to the hedge fund industry. A member of the Gerson Lehrman Group, the TASA Group and the Round Table Group, Inc., Ms. Gross has been an invited speaker at numerous hedge fund industry events and conferences, including Reuters Hedgeworld.

Ms. Gross holds a BS from Cornell University, a Masters from Harvard University and a JD from Hofstra University.

The “Vegas Sessions” Webcast Series - All 6 Sessions

February 3, 2010
Managing Your PEP Portfolio through Risk Management

February 10, 2010
Optimizing AML Controls Despite Cost Constraints

February 17, 2010
Optimizing Compliance through the Integration of AML and Fraud Prevention

March 3, 2010
Applying Lessons Learned from Recent Terrorist Financing Cases

March 10, 2010
Overcoming AML Challenges within Small and Mid-Sized Financial Institutions

March 24, 2010
Improving the Detection and Reporting of Suspicious Trade-Based Transactions

Vegas Sessions - Applying Lessons Learned from Recent Terrorist Financing Cases

Terrorists have been known to transfer funds around the globe without raising a single red flag. Their ability to create new and elaborate methods of moving money – often through legal channels – makes tracing their transactions a difficult task. This panel of world-renowned experts walks you through recent terrorist financing cases that illustrate channels being used to transfer funds. Learn global best practices for resource allocation, suspicious activity reporting and risk mitigation that you can immediately apply to your organization.

Presenters:
Jimmy Gurulé, Professor of Law, Notre Dame Law School
Patrick O'Brien, Former Assistant Secretary for Terrorist Financing, U.S. Department of the Treasury