• Reviewing FINRA’s report on exam and risk monitoring program to identify and address potential issues such as inadequate monitoring, limited scope of SARS and data integrity gaps

• Examining SEC bulletin on best practices for managing risks of omnibus accounts of foreign institutions such as fraud, money laundering and obscured beneficial owner identities

• Adapting your AML program to emerging risks/trends and formalizing cybersecurity governance to optimize response to new typologies

Moderator:

Elena Hughes, Chief Compliance Officer, Gemini

Presenters:

Thomas Aspinwall Jr, Director, Financial Crime Business Oversight Compliance, Americas and Global Investment Bank, Barclays

Michelle Rector, Director, Head of the FIU, AML & Financial Crimes, Raymond James

Gargi Sharma, Examination Manager - AMLIU, FINRA