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Course/Product Description
Title:

Suspicious Activity Reporting: Current Issues And Updates

SKU:WC-1020373
Date / Time: Recorded
Format: Webinar
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Description:

Suspicious Activity Reporting: Current Issues And Updates

This webinar will explore current Suspicious Activity Reporting (SAR) issues and cases to inform industry participants of current requirements and regulatory expectations related to their SAR filings.

The course will be led by Sidley Austin partners, Gerald Russello and Paul Tyrrell. They will advise and defend financial institutions on anti-money laundering compliance under the Bank Secrecy Act and USA PATRIOT Act.

Agenda

  • Introduction
    • SAR Filing Requirements
    • Filing Voluntary SARs
    • Confidentiality and Disclosure Issues
    • SAR Writing – What Information Is Needed
  • FinCEN Use of SAR Information
    • SAR Stats
    • High Impact Law Enforcement Matters Related to SAR Filings by Financial Institutions
    • Recent Cases Related to SAR Filing Failures
  • Conclusion and Q&A
    About The Presenters

    Gerald J. Russello
    • Partner at Sidley Austin LLP
    • Has spent almost 15 years representing individual and institutional clients in a variety of securities enforcement and regulatory matters
    • Advises broker-dealers, hedge funds, private equity funds, and accounting firms in matters being investigated by the SEC, FINRA, state securities regulators, and the PCAOB
    • Defended clients in wide range of subjects, including market manipulation, insider trading, portfolio valuation, excessive or unsuitable trading, churning, accounting fraud, document integrity, auditing standards, supervision and internal controls, regulatory compliance, and anti-money laundering (AML)
    • Advises clients on disclosure or self-reporting obligations in connection with possible misconduct
    Paul M. Tyrrell
    • Partner at Sidley Austin LLP
    • Focuses practice 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 informs his comprehensive approach to challenges that clients encounter throughout their various lines of business
    • Was a senior special regional counsel at FINRA's (formerly NASD) Boston District Office, managed investigations and filed disciplinary matters arising out of broker-dealer examinations, also counseled Member Regulation staff and industry participants on FINRA and MSRB rules
    • As a senior trial attorney with the CFTC in New York, Paul managed enforcement matters involving commodity futures and option, worked as a senior attorney with the FDIC and taught business law at the University of Massachusetts-Boston


    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.

    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.
    More Info: Contact Us For More Information
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