Securities Spotlight Case Study: A Close Examination of Recent Enforcement Actions

  • When: Previously recorded on: August 6, 2014
  • Time: 12:00 PM – 2:00 PM ET
  • Level: Basic to Intermediate

It’s no secret that regulators are placing more attention on individual liability for compliance failures more than ever before. In light of this, it is critical to stay abreast of enforcement actions and prepare for the implications of new regulations aimed at assessing individual liability.

Participate in this crucial discussion as a panel of compliance executives dissects the parameters of the proposed ‘Holding Individuals Accountable and Deterring Money Laundering Act’ and examines recent case studies revealing gaps and failures in AML programs that have led to penalties being assessed against individuals.

Learning Objectives

  • Analyzing the proposed ‘Holding Individuals Accountable and Deterring Money Laundering Act’ and its potential impact on your executive staff
  • Understanding your personal liability as a compliance executive and assessing measures to help minimize your exposure
  • Examining recent case studies involving AML compliance violations and the legal considerations for securities professionals

Who Should Attend

  • Accountants and Certified Public Accountants
  • AML Compliance Officers
  • AML Training Officers
  • Broker-Dealers
  • Consultants
  • Executive Management
  • Financial Intelligence Unit Personnel
  • General and Corporate Counsel
  • Government Regulators
  • Internal and External Auditors
  • Investment Advisors
  • Law Enforcement Agents


  • Accounting and Law Firms
  • Banks and Credit Unions
  • Credit, Debit and Pre-paid Card Companies
  • Government and Regulatory Agencies
  • Law Enforcement Agencies
  • Money Service Businesses
  • Securities and Investment Firms


ACAMS Members Non-Members
$195 $295
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Michelle Neufeld
  • Michelle Neufeld

  • Financial Crimes Compliance Leader
  • GE Capital Americas


Alma Angotti
  • Alma Angotti

  • Director
  • Navigant Consulting

Katherine Sikora Nelson
  • Katherine Sikora Nelson

  • Managing Director
  • BNY Mellon Compliance

Michael Wassell
  • Michael Wassell

  • Vice President, Compliance Surveillance Strategy Group, Transaction & Market Surveillance Group
  • Goldman Sachs