New York’s Final Rule on Certification and Potential Effects on the Global AML Regulatory Landscape

  • When: February 15, 2017
  • Time: 12:00 PM – 2:00 PM ET
  • Level: Intermediate – Advanced

Last June, the New York State Department of Financial Services (NYDFS) issued its final rule requiring New York-regulated financial institutions to certify the effectiveness of AML and OFAC transaction monitoring and filtering programs. Join industry experts for an analysis of the rule’s requirements and practical compliance strategies, as well as a discussion on how the final rule fits into the expanding global concerns regarding weaknesses in transaction monitoring, watch list filtering programs and holding individuals liable for AML related violations.

Learning Objectives

  • Outlining key provisions and major challenges of the Final Rule including model risk management and enhancing the enterprise risk-based approach
  • Analyzing how the final rule fits into the growing global controversy surrounding financial transparency
  • Impact of the Final Rule on personal liability challenges
  • Integrating a compliance roadmap to ensure current transaction monitoring and filtering reflects risks of business lines

Who Should Attend

  • Senior Management
  • Compliance Officers
  • Risk Managers
  • On-boarding Personnel
  • Industry Consultants
  • Legal Advisors


  • Global
  • North America
  • Bank
  • Securities


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  • Peter Wild, CAMS-Audit

  • Founder
  • Wild AML Solutions


Meryl Lutsky
  • Meryl Lutsky

  • Chief, Crime Proceeds Strike Force Criminal Enforcement and Financial Crimes Bureau
  • York State Attorney General’s Office

Jack Sonnenschein
  • Jack Sonnenschein, CAMS-Audit

  • Founder and Principal
  • Compliance Navigation LLC