Insuring Your Future: Protecting Your Company and Career Under New Regulations (Audio/Visual CD-ROM)
Anti-money laundering laws are constantly changing. Ensure that you don't get caught off guard. In November 2005, FinCEN released the new anti-money laundering laws for U.S. insurance companies. Do you fully understand how these new laws impact the way you perform your duties? This web seminar will dissect the new regulations so that you can make sure your company is in compliance and your career is protected.
The Experts:
Kim Estrada, CAMS
After receiving her doctorate degree, Kim joined Western Reserve Life Assurance Co. of Ohio ("WRL"), which is a member company of the AEGON Group. She was a Claim Review Analyst where she reviewed the legal aspects of class member allegations for settlement. In 2003 she was named the Anti-Fraud, Anti-Money Laundering, and Privacy Compliance Support Manager for several statutory companies under the AEGON umbrella where she focused on the implementation of regulatory policy, procedures and training for WRL and affiliated companies. Kim’s role in the insurance industry changed in 2004 with her acceptance to the position of Separate Accounts Compliance Officer over several AEGON member companies regarding Rule 38a-1 of the Investment Company Act. As CCO, Kim is responsible for the Separate Accounts’ compliance with all federal securities laws. Kim is also an active member of the ACAMS Advisory Board.
Kate Schulze, CAMS
Before joining AEGON, Katherine was a Senior Counsel in the Enforcement Division of the Securities and Exchange Commission (SEC) from 1990 - 1994 and a trial attorney and Associate General Counsel with the Department of Justice from 1987-1990. She is licensed to practice law in Michigan, Illinois, Maryland and the District of Columbia. Currently, Katherine is a Vice President and Associate General Counsel for the AEGON Group of companies. She is responsible for overseeing regulatory matters involving SEC-registered entities, providing legal advice and conducting reviews of the compliance policies and procedures of the companies’ insurance, broker-dealer, investment adviser and investment management operations.
Recorded: January 25, 2006
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