SECURITIES
Tue, 09/29/2020 - 3:30pm-4:25pm
Securities Spotlight: Best Practices for Fighting Financial Crimes
- 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