THE FIBA AML CONFERENCE AGENDA

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THE FIBA AML CONFERENCE AGENDA Powered By Docstoc
					                                   THE FIBA AML CONFERENCE AGENDA
                                         www.antimoneylaundering-fiba.com

           PRE CONFERENCE DAY PROGRAM – US Treasury Dept (AML/CFT) and FELABAN PSD
           WEDNESDAY, FEBRUARY 23, 2011

           US Treasury Dept / FELABAN - Latin American Private Sector Dialgoue (PSD): 1) FATCA and 2) Bulk Cash
1 PM       Go to http://www.fiba-events.net/eventdetails.asp?EventID=-661342512 for PSD registration details (separate registration
6 PM       is required)


           DAY ONE
           THURSDAY, FEBRUARY 24, 2011

7:00 AM                                                         Registration Open                                                          Mezzanine
6:30 PM                                                Sponsored by Navigant Consulting, Inc.                                              Level

7:00 AM                                                     Continental Breakfast                                                          Exhibit
8:00 AM                                  Sponsored by DATAPRO INC. / GLOBAL OUTSOURCE SERVICES LLC.                                        Area

           Welcome to the                                                    Dario Fuentes, Senior VP and General Manager, Caja           Grand
8:00 AM    2011 FIBA Annual AML Conference                                    Mediterraneo and FIBA President                              Ballroom
8:30 AM    Opening Remarks                                                   Clemente Vazquez-Bello Esq., Partner, Gunster, and           Mezzanine
                                                                              Chairman of FIBA AML Conference Advisory Committee           Level

                                                                         Moderator:
                                                                            William D. Langford, Jr., Senior VP, Global Head of
           What’s new in AML Landscape                                       Compliance, JP Morgan Chase
                                                                         Speakers:
8:30 AM    This panel will set the stage for two days of intensive          Jamal el-Hindi, Associate Director, FinCEN
10:00 AM   learning and discussion. In addition to addressing               William J. Fox, Senior VP, Global AML and Economic            Grand
           regulatory changes and enforcement actions that                                                                                 Ballroom
                                                                             Sanctions Executive, Bank of America
General    occurred in 2010, attendees will have the opportunity                                                                           Mezzanine
Session    to see the "big picture" of what awaits them in 2011 –           Suzanne Williams, Manager, Compliance Section, Division       Level
           CISADA, FATCA, pending FinCEN wire reporting, and                 of Bank Supervision and Regulation, Board of Governors of
           more.                                                             the Federal Reserve System
                                                                            John Wagner, Director, BSA/AML Compliance, OCC
                                                                            Lisa D. Arquette, Associate Director, Div. of Supervision &
                                                                             Consumer Protection, FDIC

10:00 AM                                                          Coffee Break                                                             Exhibit
10:30 AM                                            Sponsored by Bank of America Merrill Lynch                                             Area

10:30 AM
           CONCURRENT SESSIONS- SERIES #1
11:45 AM

           SARs – The New Confidentiality Rule and SAR Sharing
           Guidance

           SAR sharing with the head office, across borders, and      Speakers:                                                            Grand
Breakout   within the institution continues to be an important             Clemente Vazquez-Bello Esq., Partner, Gunster, and             Ballroom
1A         topic for compliance officers who need to identify and
                                                                            Chairman of FIBA AML Conference Advisory Committee             Mezzanine
           share information about suspicious activity on an
           enterprise-wide basis. This seminar will address in             Jamal el-Hindi, Associate Director, FinCEN                     Level
           detail the new SAR guidance on SAR-sharing, with the
           latest information on what is permitted, what has
           changed, and what is expected by FinCEN.
           AML Issues in Latin America – (in Spanish w
           translation)                                                   Moderator:
                                                                               Guillermo Horta, Senior VP, Global AML and Economic
           Latin American banks, through the FELABAN AML
           Committee, have taken a hemispheric approach to                      Sanctions, Bank of America Merrill Lynch (Mexico)           Chopin
Breakout                                                                  Speakers:
           identifying AML issues and sharing information and                                                                               Room
1B
           solutions across borders. This panel will discuss                   Susan Paola Rojas, Deputy Head Financial                    Mezzanine
           current regulatory compliance structure, regional risks,             Analysis,Superintendency of Guatemalan Banks                Level
           including the growing influence of the drug cartels, the            Francisco Ruiz, Oficial de Cumplimiento, Bancolombia
           spread of bulk cash shipments of U.S. dollars, and how
                                                                                (Medellin)
           to structure your AML and Risk Management program.


11:45 AM                                                               Coffee Break                                                         Exhibit
12:15 PM                                                         Sponsored by DOW JONES                                                     Area

                                                         Luncheon with Keynote Jennifer Shasky,
                                                Chief of Asset Forfeiture and Money Laundering Section,                                     Grand
12:15 PM                                              U.S. Department of Justice- Washington, D.C.                                          Ballroom
1:30 PM                                                                                                                                     Mezzanine
                                                                 Sponsored by World Check                                                   Level


1:30 PM                                                                                                                                     Exhibit
                                                                 Dessert and Coffee Break
2:15 PM                                                                                                                                     Area

1:45 PM
           CONCURRENT SESSIONS- SERIES #2
3:00 PM


           Private Banking Issues – Beneficial Owners, KYC, EDD,           Moderator:
           PEPs
                                                                               Stephen Strombelline, Managing Director, BNP Paribas
           How can banks create a strong internal sales culture            Speakers:
Breakout                                                                       Michael J. Wilcox, Managing Director, US Chief Compliance
           which matches the bank’s overall compliance culture
2A
           and regulators’ requirements? Where are the                          Officer, Banco Santander
           business trends and opportunities in the current                    Cody Smith, VP & Compliance Officer, Caja Mediterraneo
           environment , both in country and offshore? This                    Rick MacNamara, Director AML Risk Supervision, Federal
           panel will take an in-depth look at KYC, EDD, PEPs and
                                                                                Reserve Bank of Atlanta (Miami Branch)
           beneficial ownership issues. There will be ample time
           for Q &A.

                                                                           Moderator:
           Emerging Global Payment Risk By Region and By                       William D. Langford Jr., Senior VP, Head of Compliance,
           Product
                                                                                JPMorgan Chase NA
           Payment risks range from “stipping” in international            Speakers:
Breakout                                                                       Suzanne Williams, Manager, Compliance Section, Division
           payments to avoid detection and OFAC sanctions, as
2B
           well as the explosion of prepaid cards, mobile                       of Bank Supervision and Regulation, Federal Reserve
           payments, and payments from regions of the world                     System Board of Governors,
           less well known to the bank. The panel will identify                William J. Fox, Senior VP, Global AML and Economic
           some of the risks, red flags and best practices.
                                                                                Sanctions Executive, Bank of America,
                                                                               John W. Campbell, Partner, PricewaterhouseCoopers LLP

                                                                           Moderator:
           Privacy and Confidentiality in Outsourcing and                      Carmina Hughes, Executive Director, Navigant Consulting
           Technology                                                      Speakers:
Breakout
2C                                                                             Kevin M. Levy, Shareholder, Gunster Law Firm
           Technology continues to raise a number of complex
           issues for banks – security of data, legal liability of US          Guillermo Benites, Chief Operating Officer, Caja
           banks and vendors, privacy of client data, outsourcing               Mediterraneo
           of certain compliance functions, and the monitoring                 Regulator TBA
           and due diligence of vendors.


3:00 PM
                                                                WALK TO NEXT SESSIONS
3:15 PM

3:15 PM
           CONCURRENT SESSIONS- SERIES #3
4:30 PM

           How to Integrate Fraud and AML to Protect the Bank
                                                                          Moderator:
           Fraud and AML departments use different approaches
           to illicit activity . But the lack of enterprise wide              Robert I. Targ, Partner, Diaz Reus & Targ LLP
Breakout                                                                  Speakers:
           communication in real time can leave the bank
3A
           vulnerable to client law suits, other financial exposure           Michael Diaz, Jr., Managing Partner, Diaz Reus & Targ
           and liability, including regulatory and legal actions,             Jim Richards, EVP/BSA Officer, Wells Fargo & Company
           and bank liability for the crimes of their clients. Recent         John Osa, Special Agent, FBI
           Ponzi schemes provide a framework for this important
                                                                              Rick Raven, Deputy Chief, Criminal Investigation, IRS
           discussion.


           A Caribbean Dialogue: Including Trusts, AML                    Moderator:
           Standards, and Current Issues                                      Julia Mold, Regional AML Director, Royal Bank of Canada
                                                                          Speakers:
           The Caribbean is as diverse as the issues it faces:                Karen O’Brien, Managing Partner, Global Compliance
Breakout   dollarized economies; AML compliance in complex
                                                                               Solutions( Cayman )
3B         structures; anti corruption controls; information
           sharing; UN sanctions; compliance with UK, Canadian                R.J. Berry, Head of Compliance and Money Laundering
           and USA laws; trusts and required identification                    Reporting Officer, Cayman Islands Monetary Authority
           processes. This panel will take a look at various                  Samuel J. Wilkinson Harcourt, Votorantim (Bahamas)
           financial centers, ttheir AML regimes, their regulatory            Sharon Christopher, First Citizens (Trinidad & Tobago)
           systems, and their different AML challenges.



4:30 PM
                                                                WALK TO NEXT SESSIONS
4:45 PM

           Recent AML Enforcement Actions: What Gets
           Financial Institutions in Trouble and How Do They Get          Moderator:
           Out of It?                                                         Amy G. Rudnick, Partner, Gibson Dunn & Crutcher LLP
4:45 PM
6:00 PM                                                                   Speakers:                                                      Grand
           This panel will discuss recent enforcement actions,                Daniel P. Stipano, Deputy Chief Counsel, OCC              Ballroom
           common themes that get banks in trouble, how did law
General                                                                       Jack Hogan, General Manager, Sumitomo Mitsui Banking      Mezzanine
Session    enforcement find red flags that the banks missed, how                                                                         Level
           do you respond to possible enforcement action, how                  Corporation
           do you manage the process, correct the deficiencies,               Jacqueline D. Molnar, VP, Head AML Shared Services, TD
           and go forward and lessons to be learned                            Bank Financial Group



6:00 PM                                                      Welcome Cocktail Reception                                                  Exhibit
7:00 PM                                                   Sponsored by Diaz, Reus & Targ, LLP                                            Area


           DAY TWO
           FRIDAY, FEBRUARY 25, 2011

                                                                  Registration Open                                                      Mezzanine
7:00 AM
                                                         Sponsored by Navigant Consulting, Inc.                                          Level
7:00 AM                                                                                                                                          Exhibit
                                                                   Continental Breakfast
8:30 AM                                                                                                                                          Area

                                     Report on the Latin American Private Sector Dialogue (PSD) (in Spanish)                                     Grand
8:00 AM          An Executive Summary of the Conclusions of the PSD on Bulk Cash Smuggling and Impact of FATCA on non US Banks                   Ballroom
8:30 AM                Luis Bernardo Quevedo, Chairman, Banco de Bogota (Colombia) and FELABAN AML Committee Chair                               Mezzanine
                                                                                                                                                 Level

                                                                            Moderator:
                                                                                Clemente Vazquez-Bello Esq., Partner, Gunster, and
                                                                                 Chairman of FIBA AML Conference Advisory Committee
                                                                            Speakers:
                                                                                Debra L. Novak, Chief, Anti-Money Laundering Section,
                                                                                 FDIC
8:30 AM    Ask the Regulators – What keeps the regulators awake                 Ingrid Gonzalez, Area Financial Manager, Office of
10:00 AM   at night?                                                             Financial Regulation, State of Florida                          Grand
                                                                                                                                                 Ballroom
                                                                                Jamal el-Hindi, Associate Director, FinCEN
General    Always a favorite, this is your opportunity to ask                                                                                    Mezzanine
Session    regulators the tough questions and hear what is highest              John Wagner, Director, BSA/AML Compliance, OCC                  Level
           on their list of regulatory priorities.                              Suzanne Williams, Manager, Compliance Section, Division
                                                                                 of Bank Supervision and Regulation, Federal Reserve
                                                                                 System Board of Governors
                                                                                Rick MacNamara, Director AML Risk Supervision, Federal
                                                                                 Reserve Bank of Atlanta (Miami Branch)
                                                                                Thomas H.Roche, Deputy General Counsel and SVP,
                                                                                 Federal Reserve Bank of New York

10:00 AM
10:30 AM                                                               Coffee Break


10:30 AM
           CONCURRENT SESSIONS- SERIES #4
11:45 AM

                                                                        Moderator:
            Broker Dealers Issues – Part I (Best Practices, Red
                                                                                Sergio Alvarez-Mena, Executive Director, Morgan Stanley
            Flags)
                                                                                 Smith Barney
                                                                        Speakers:
            This breakout session will focus on best practices for
                                                                                Sven Stumbauer, Director, Forensic, KPMG
            Customer on-boarding. Discussion will include
Breakout                                                                        Jeff Horowitz, Managing Director, Chief AML and OFAC
            leveraging Credit, Legal and Operations areas as well
4A                                                                               Officer, Pershing LLC
            as best practices for on-going periodic KYC reviews.
                                                                                Lourdes Gonzelez, Assistant Chief Counsel for Sales
            How can you leverage the KYC /CIP performed by a
                                                                                 Practices, Division of Trading and Markets, SEC
            parent bank or broker dealer affiliate. Discussion will
                                                                                Michael Ruffino, Chief Operating Officer in Sales Practice in
            also include best practices for the collection and/or
                                                                                 Member Regulation, FINRA
            verification of beneficial ownership information for
            Broker Dealer customers                                             Yvette Hollingsworth, Managing Director, Global Head of
                                                                                 Financial Crime, Barclays Capital

                                                                          Moderator:
           Trade Finance and Trade Based Money Laundering                      Wayne Shah, Director, Global Financial Institutions and
                                                                                Trade Services, Wachovia Bank NA, a Wells Fargo Company
           Addressing one of the hottest topics in international          Speakers:
Breakout
           banking, this workshop will focus due diligence,                    Robert Mazur, President, Chase & Associates, Inc
4B
           controls and monitoring. What are the red flags and                 Lisa M. Grigg, Senior VP and Money Launderings Risk
           current money laundering schemes. The panel will                     Executve for the Americas, Bank of America
           discuss how to conduct an investigation.                            Kenneth Smith, Bank of America
                                                                               Frank Di Gregorio, Group Supervisor, ICE
           Improving Your Transaction Monitoring System                    Moderator:
                                                                                Michael Zeldin, Principal, Deloitte
           This interactive panel discussion will focus on key issues       Speakers:
Breakout
           in Transaction Monitoring including: Organizational                  Jim Richards, E VP, Wells Fargo & Company
4C
           Design; Case Management Tools; Rules Optimization;                   David Jeffries, Senior VP, Compliance Director, JP Morgan
           SAR decisioning issues; and Financial Intelligence Units              Chase NA
           among other aspects relevant to domestic and                         Scott Nathan, Deputy BSA Officer, BankUnited
                                                                                Karen Van Ness, Oracle Financial Services
            international banking.


                                                                            Moderator:
           Emerging Regulatory Issues for MSBs                                  Jorge Guerrero, Esq., Optima Compliance
                                                                            Speakers:
           This panel will discuss US and Non US MSBs; the FinCEN               Donald C. Semesky, Jr., Financial Operations Consultants
Breakout   Guidance MSBs; what are the effective AML Controls;                   LLC and former IRS-CDI and former DEA
4D         and what are the possible enforcement actions. Are
                                                                                Lester M. Joseph, International Investigations Manager,
           you an MSB in the U.S.? If so, what should you do to
           comply and where? These and other issues that will                    Financial Intelligence Unit, Wells Fargo Bank
           drastically impact the operations of MSBs in 2011 or                 Robert Smik, Nova Bank (Pennsylvania)
           banks that have their accounts will be the focal point of            John Kovacs, Wells Fargo Bank
           this panel of experts                                                Regulator - TBA

11:45 AM                                                                                                                                         Exhibit
                                                                        Coffee Break
12:15 PM                                                                                                                                         Area

                                                           Lunch – Keynote to be announced                                                       Grand
12:15 PM                                                                                                                                         Ballroom
1:30 PM                                               Sponsored by PricewaterhouseCoopers LLP                                                    Mezzanine
                                                                                                                                                 Level

1:30 PM                                                                                                                                          Exhibit
                                                                Dessert and Coffee Break
2:15 PM                                                                                                                                          Area

2:15 PM
           CONCURRENT SESSIONS- SERIES #5
3:30 PM

            Broker Dealers Issues Part II: Recent Enforcement
            Actions                                                          Moderator:
                                                                                Sergio Alvarez-Mena, Executive Director, Morgan Stanley
           This panel will cover recent enforcement actions from                 Smtih Barney
           FINRA and the S.E.C. What were the key mistakes                   Speakers:
           made by these broker dealers and how can you avoid                   Jeff Horowitz, Managing Director, Chief AML and OFAC            Grand
Breakout
                                                                                 Officer, Pershing LLC                                           Ballroom
5A         them? What are the AML exam focuses from FINRA
                                                                                Sven Stumbauer, Director, Forensic, KPMG                        Mezzanine
           and the S.E.C.?                                                      Lourdes Gonzalez, Assistant Chief Counsel for Sales             Level
                                                                                 Practices, Division of Trading and Markets, SEC
           Key recent cases include the Pinnacle Case and the                   Michael Ruffino, Chief Operating Officer in Sales Practice in
           Stern Agee Case                                                       Member Regulation, FINRA
                                                                                Yvette Hollingsworth, Managing Director, Global Head of
                                                                                 Financial Crime, Barclays Capital

           Correspondent Banking including New FATCA                        Moderator:
           Reporting Requirements                                               Carl Fornaris, Shareholder, Greenburg Traurig
Breakout                                                                    Speakers:
5B         The regulations around correspondent banking
                                                                                Guillermo Horta, Senior VP, Global AML and Economic
           continue to grow: an important new focus is
           preparation for FATCA implementation. Other                           Sanctions, Bank of America Merrill Lynch (Mexico)
           important areas are FinCEN's proposed cross-border                   Alan Ketley, Managing Director AML Compliance, JP
           wire transfer reporting rules, new Iran sanctions                  Morgan
           (CISADA), prepaid cards, and movement of bulk cash .              Marian Ancheta Llera, Associate, Avila Rodriguez
           This panel will focus on the new regulations and new               Hernandez Mena & Ferri LLP
           risks.
                                                                             Thomas H. Roche, Deputy General Counsel and SVP,
                                                                              Federal Reserve Bank of NY

           AML Audit Regulatory Concerns
                                                                          Moderator:
           Regulatory requirements demand that banks conduct                John Wagner, Director, BSA/AML Compliance, OCC
           audits of their AML compliance as one of the four             Speakers:
Breakout
5C
           pillars. This panel will focus on the value of the audits,       Darren J. Donovan, Principal, KPMG Forensics LLP
           deficiencies which can occur in the scope of the audit,          Jennifer A. Young, VP, Sr. Audit Consultant, Bank of
           regulatory expectations, and how to benchmark your                America Corporate Audit
           AML audit.                                                       Spencer Doak, Compliance Lead Western District, OCC


                                                                         Moderator:
           Legitimate Trust Structure or “Busted”                            Lester M. Joseph, International Investigations Manager,
                                                                              Financial Intelligence Unit, Wells Fargo Bank
Breakout
           This panel will look at how financial planners and law        Speakers:
5D
           enforcement look at structures, such as trusts, and               Donald C. Semesky, Jr, Financial Operations Consultants
           what is “normal” and what is suspicious                            LLC and former IRS-CDI and former DEA
                                                                             Marco E. Rojas, Esq.,, Partner, Rojas & Stantham, LLP


3:30 PM
3:45 PM                                                          WALK TO NEXT SESSION



                                                                        Introduction:
           OFAC and the New Iran Sanctions (CISADA)
                                                                              Darren J.Donovan, Principal, KPMG LLP
3:45 PM    The expansion of Iranian sanctions will affect not only
                                                                                                                                           Grand
5:00 PM    US banks, but also international trade transactions and      Moderator:
                                                                                                                                           Ballroom
           foreign correspondent banks. Speakers from OFAC,                 Andres Fernandez, Sharholder, Gunster Law Firm                Mezzanine
General    the industry, regulators, and top lawyers and
                                                                                                                                           Level
Session    consultants will outline regulatory expectations and
                                                                        Speakers:
           explain how banks can most effectively implement the
                                                                             Dennis P. Wood, Assistant Director, Compliance Outreach
           expanded sanctions.
                                                                              & Implementation, OFAC
                                                                             Serena D. Moe, General Counsel – Economic Sanctions,
                                                                              Citigroup Inc.

                                                                                                                                           Grand
                                                                             Dario Fuentes, Senior VP and General Manager, Caja
                                                                                                                                           Ballroom
                                                                              Mediterraneo, and FIBA President
5:00 PM    Closing Remarks                                                                                                                 Mezzanine
                                                                             Clemente Vazquez-Bello Esq., Partner, Gunster, and
                                                                                                                                           Level
                                                                              Chairman of FIBA AML Conference Advisory Committee

                                                   th
                                                11 Annual FIBA AML Compliance Conference Adjourns



           Special pre / post conference FIBA-FIU AML certification courses, & “once-a-year” discounts for AML Conference attendees:
           Offered by: The FIBA AML Institute, in partnerhip with Florida International University (FIU)

                               Tuesday & Wednesday, February 22 and 23, 2011 - AML/CA (Certified Associate) –– in English or in Spanish
                               Monday & Tuesday, February 28 and March 1, 2011 – CP/AML (Certified Professional) – in Spanish

           Separate Registration Required: go to www.fibatraining-regsiter.net

				
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