Former Director of the SEC’s Denver Regional Office, Kurt Gottschall, conducted an in-depth analysis of Suspicious Activity Reports (SAR) filed by broker-dealers spanning a 20-year period. The obligation to file SARs by broker-dealers has been in place for more than 20 years. However, the first Enforcement Action wasn’t issued until 2016 and has skyrocketed since.

The panelists will discuss the impact of enforcement actions across their areas of focus including several financial services industries (banking, MSB, Crypto) and the role that SARs play in identifying illicit activity.

Agenda

Networking: 5:15 – 6:00 MDT
Presentations Start: 6:00 MDT
Presentation Ends: 8: 30p.m.MDT

Venue

CoBank
6340 South Fiddlers Green Circle
Greenwood Village, CO 80111

CoBank employee and visitor parking will be available for this event. Enter these from the West side of the building.

Venue Capacity: 150