Securities & Broker Dealers: A Closer Look at Compliance (Audio/Visual CD-Rom)
The recent case of Lloyds TSB Bank and Bank of Cyprus has drawn a spotlight on anti-money laundering compliance in the securities industry. Of special concern are the challenges posed by correspondent accounts and by the need to identify sources of funds, beneficial ownerships and suspicious transactions. What beneficial ownership information should broker dealers gather to be sure to satisfy both government regulators and self-regulatory organizations such as the NASD and NYSE? In this session, experts will explain specific compliance requirements, and extract useful tools and practices from examination manuals.
Speakers:
Christopher A. Myers, CAMS
Partner
Holland and Knight
Christopher is co-chair of Holland & Knight's Compliance Services Team and a member of the firm's White Collar Defense Team. He is a former federal prosecutor and has experience in a broad range of complex matters affecting heavily regulated industries, including health care, government contracts, financial institutions, real estate, securities and other companies. He has represented clients with respect to matters involving civil and criminal fraud investigations, corporate governance, anti-money laundering, design and implementation of compliance programs, and administrative litigation. In addition to his practice, Christopher has been a faculty member at a wide variety of continuing legal education and law school programs relating to enforcement and compliance issues, investigations, records retention programs, e-discovery issues and risk assessments. He is also certified as an Anti-Money Laundering Specialist and as a Certified Compliance & Ethics Professional.
Rose Romero
Regional Director, Fort Worth District Office
Securities and Exchange Commission (SEC)
Rose is currently the Regional Director for the Fort Worth District Office of the United States Securities and Exchange Commission where she oversees the Enforcement and Examination Programs for the Region. Before joining the SEC, Rose was Executive Assistant United States Attorney for the Northern District of Texas. In that role, she advised the U.S. Attorney on various management and administration issues and oversaw all criminal and civil programs initiated by the district. She also investigated and prosecuted numerous cases involving white collar fraud, telemarketing fraud, bank fraud, narcotics and money laundering. Later Rose was selected as an advisor to the U.S. Ambassador to Ecuador where she advised on legal and political issues and assisted local officials in drafting civil and criminal legislation regarding financial crimes, money laundering and narcotics trafficking.
Recorded: April 16, 2008
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