Regulatory Roundtable: Detailing the Latest Global Legislative and Regulatory Trends

  • When: Postponed
  • Time: TBA
  • Level: All

Ultimate beneficial ownership requirements, increased information sharing between financial institutions, the push for uniform regulation for cryptocurrencies, changes to requirements to comply with 5AMLD, and the effort to make fintechs anti-financial crime (AFC) compliant are some of the trends and regulatory developments impacting compliance professionals worldwide. Join this webinar for a fast-paced examination of current global and domestic AFC compliance oversights trends and hurdles, as well as practical strategies for overcoming them.

Learning Objectives

  • Detailing recent U.S. regulatory changes such as NYSDFS Rule Part 504 annual review issues, Bank Secrecy Act (Title 31) compliance audit and CDD post-implementation review
  • Discussing new and upcoming global regulatory developments, including changes to AML requirements in compliance with 5AMLD and beyond
  • Leveraging lessons learned from recent global cases, including gaps in cross-border enforcement and mismanagement of correspondent banking relationships
  • Assessing current examination trends to improve institution responses and ensure clarity of expectation

Who Should Attend

  • Compliance Officers
  • Law Enforcement
  • Legal Advisors
  • Trade Financing Specialists
  • Financial Technology Professionals

Region/Industry

  • Global

Pricing

ACAMS Members Non-Members
$245 $445
Postponed Join ACAMS

Moderator

John J. Byrne
  • John J. Byrne, Esq., CAMS

  • Vice Chairman
  • AML RightSource

Speaker

Spencer Doak
  • Spencer Doak

  • Director for BSA/AML Policy
  • Office of the Comptroller of the Currency (OCC)
Bio

Spencer Doak is the Director for BSA/AML Compliance Policy for the Office of the Comptroller of the Currency (OCC). Prior to joining OCC Policy, he was the Large Bank Supervision Compliance Lead Expert, with responsibilities for BSA/AML and consumer protection laws and regulations. Before joining Large Bank Supervision, Spencer was a BSA/AML Compliance Specialist in the OCC’s BSA/AML Compliance Policy division. And, prior to his role in BSA/AML Compliance Policy, he served as the OCC’s Western District Compliance Lead Expert on matters related to BSA/AML and consumer protection. Mr. Doak joined the OCC from the industry in 1992, initially as a safety and soundness examiner.


Jeremy Kuester
  • Jeremy Kuester

  • Counsel
  • White & Case, LLP


Rick Small
  • Rick Small, ACAMS, CAMS

  • Executive Vice President | Director Financial Crimes Program
  • BB&T

Bio

Mr. Small will bring leading insights on the challenges, strategies, regulatory expectations and future focus areas for anti-money laundering and financial crimes at a global level. Prior to joining EY, he was the Senior Vice President, Enterprise Wide Anti-Money Laundering, Anti-Corruption and International Regulatory Compliance for American Express. In this role, Mr. Small was responsible for overseeing the enterprise-wide anti-money laundering, anti-corruption and sanctions programs. In addition, he was responsible for the Compliance teams that manage day to day compliance outside of the United States. Prior to joining American Express, Mr. Small was the Global Anti-Money Laundering Leader for GE Money, a division of General Electric. In this role, he was responsible for the anti-money laundering program of all GE Money businesses globally. Prior to joining GE, he was the Managing Director, Global Anti-Money Laundering, for Citigroup.