SECURITIES
Tue, 09/29/2020 - 3:30pm-4:25pm
  • Examining how artificial intelligence and other technologies are being deployed to manipulate equity trading and facilitate criminal activities and adjust oversight accordingly
  • Analyzing unique broker/dealer compliance challenges in areas such as beneficial ownership determination to ensure proper controls for AML/AFC risk management
  • Reviewing guidance from FINRA and other agencies on unique securities-related financial crime risks such as unregistered offerings tied to medical product fraud

 

Moderator:

Sarah Green
Global Head of Financial Crimes
The Vanguard Group

 

Presenters:

John Davidson
Managing Director, Global Head of Anti Money Laundering
E*Trade

Max Levine
Managing Director, AML Strategy
Charles Schwab

Alexandra Sagaro, CAMS
Director, Fraud Risk Management Lead
Raymond James Financial

Nirupama Suryanarayanan
Principal, Financial Crimes Unit Technology
PwC