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|Date / Time:
||This live audio conference will cover some of the latest and most important legal and regulatory developments in the Bank Secrecy Act, anti-money laundering and OFAC compliance from a panel of experienced AML experts, including the latest trends in enforcement actions, recent guidance, upcoming issues facing the financial services industry, and practical tips for improving compliance programs.
This program provides important training for BSA/AML compliance officers, senior management and members of the board, auditors, attorneys and other professionals.
I. Recent Trends in Enforcement Activity
II. Review of Recent Guidance
- Review of the Latest Actions
- Areas of Heightened Concern
- Common Compliance Problems
- Global Trends
III. What's Ahead for Fighting Money Laundering and Terrorist Financing?
- KYC/Due Diligence/Beneficial Ownership
- Special Issues Facing the Securities Industry
Who Should Attend?
- How Patterns of Suspicious Activity Have Changed in Recent Years
- Emerging Patterns of Complex and Hard to Detect Fraud and Cybercrime
- Compliance Challenges Ahead for Financial Institutions
This live audio conference is designed for attorneys, presidents, vice presidents, loan officers, loan department personnel, branch managers, credit and collections managers, controllers, accountants, compliance officers and auditors.
Andrew B. Kales, Bingham McCutchen LLP
Paul M. Tyrrell, Bingham McCutchen LLP
- Of counsel with Bingham McCutchen LLP
- Focuses his practice on a variety of regulatory and transactional matters for financial services clients
- Previously practiced at Goodwin Procter in Washington, D.C., where he advised clients on a broad range of U.S. and foreign bank regulatory matters
- Practiced before the federal bank regulatory agencies and bank regulators of various states, including the Office of the Commissioner of Banks of the Commonwealth of Massachusetts and the New Hampshire Banking Department
- Previously worked as a bank examiner and financial analyst for the Federal Reserve Bank of New York and the Federal Reserve Board of Governors, respectively, where he focused primarily on supervision of the U.S. operations of foreign banks
- J.D. degree, Juris Doctor, Georgetown University Law Center; master of arts in international relations, Johns Hopkins University; B.A. degree, Brown University
Continuing Education Credits
- Of counsel with Bingham McCutchen LLP
- Focuses on securities and commodities compliance and enforcement matters affecting financial institutions, with an emphasis on sales practice and supervisory rules applicable to broker/dealers and their associated persons
- Advises clients on their compliance with the USA PATRIOT Act, Bank Secrecy Act and related anti-money laundering requirements
- Extensive regulatory and litigation experience that provides clients with a comprehensive approach to their challenges
- Prior to joining Bingham, served as senior special regional counsel at FINRA’s (formerly NASD) Boston district office, managing investigations and filing disciplinary matters arising out of broker-dealer examinations and counseled member regulation staff and industry participants on FINRA and MSRB rules
- Served previously as a senior trial attorney with the CFTC in New York, managing enforcement matters involving commodity futures and options, and as a senior attorney with the FDIC
- Panelist, “Recent Anti-Money Laundering Enforcement Actions,” SIFMA Anti-Money Laundering & Financial Crimes Conference
- Received the Certified Regulatory Compliance Professional designation through the FINRA Institute in 2005
- J.D. degree, Western New England College School of Law; B.A. degree, University of Florida
Credit is available only for the LIVE webcast. Recorded versions do not qualify for credit. Only registered and paid attendees will receive continuing education credit. Certificates of Completion are provided to each registered attendee. Your certificate will be emailed to you within two weeks following completion of the program.
Cannot Attend The Live Presentation?
This presentation is also available in a recorded format, in CD version, as shown in the pricing options below.
|About Webcasts / Audio Conferences / Podcasts:
||Webcasts, audio conferences, and podcasts are presentations that you attend via the Internet, phone, or mobile device at a specified date and time for "live" versions, or at your convenience for "recorded" and "On-Demand" versions.
The live versions are interactive, meaning that participants can ask questions in real time, plus are a very cost-effective form of training because 1) you receive fast, convenient learning without any out-of-office time; 2) you can invite as many colleagues as you'd like to listen in on a single phone line; 3) you incur no travel expenses; and 4) you and your colleagues are back at work immediately after the session ends!
And though with recorded versions you do lose the ability to ask questions, you gain the ability to hear the presentation numerous times and to share it with others in your office.
Handout materials and the phone number for live presentations are made available to you prior to the event via email from the presenter and from the "MyAccount" link on the menu bar. Copies of the presentations are included with recorded versions.
|Licenses / Designations / Educational Credits:
All US States: 0.5
All US States: 1.5
|About The Provider:
||Lorman Education Services has provided educational seminars and online training for professionals since 1987.
Since then, we've kept thousands of professionals in the United States and internationally current on the most pressing topics in a rapidly changing marketplace of ideas. Like you, we understand the need for concise, accurate information.
That understanding underlies each Lorman course, presenting the latest information on the laws and regulations critical to your organization's successful daily operations.
Moreover, each course receives our painstaking attention to be certain both the faculty and participants receive the individual attention necessary to achieve maximum benefit from the materials.
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