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Overview:

Significant advancements continue to reshape anti-money laundering and counter-terrorism financing (AML/CTF) efforts in 2020. In January, the U.S. Department of the Treasury released its National Strategy for Combatting Terrorist and Other Illicit Financing which details the key priorities in Bank Secrecy Act (BSA) enforcement. The Federal Financial Institutions Examination Council (FFIEC) also issued an updated BSA/AML Examination Manual, while the Financial Action Task Force (FATF) discussed the Travel Rule for digital assets.

These and other developments are expected to impact the financial compliance landscape in 2021. With risks further intensified by the COVID-19 pandemic, financial institutions need a proper roadmap to ensure compliance and preparedness against a potential inquiry.

Listen as a panel of key thought leaders and distinguished professionals assembled by The Knowledge Group provides a comprehensive discussion of the recent enforcement trends in AML/CTF and their implications in 2021. Speakers will also discuss practical compliance tips and strategies in this evolving climate.

Key issues include:

  • Recent AML/CTF Enforcement Developments
  • COVID-19 Implications
  • Critical Risk Issues and Challenges
  • Best Compliance Practices
  • 2021 Outlook

Learning Objectives

  • Determine the impact of COVID-19 and digital transformation on financial crime compliance as well as reducing e-Commerce sanctions risks
  • Identify various trends and updates from the recent global tax investigations, AML in Australia, and Fintel Alliance 2020 Annual Report
  • Identify the various considerations in monitoring and reporting broker-dealers’ suspicious activities

Credit:

Course Level:

Intermediate

 

Advance Preparation:

Print and review course materials

 

Method of Presentation:

On-demand Webcast (CLE); Group-Internet Based

 

Prerequisite:

General knowledge of banking and finance laws

 

Course Code:

148907

 

NY Category of CLE Credit:

Areas of Professional Practice

 

NASBA Field of Study:

Business Law – Technical

 

Total Credit:

1.0 CLE

1.0 CPE (Not eligible for QAS (On-demand) CPE credits)


How to Claim CLE Credits Per State:

https://knowledgewebcasts.com/how-to-claim-cle-credits-per-state/


CLE State Requirements:

https://knowledgewebcasts.com/cle-state-requirements/

Speaker Panel:

Tracy Manning, Director, Financial Crime Compliance
LexisNexis® Risk Solutions

Tracy Manning is a digital identity and financial crime expert with over 25 years of experience driving data strategy, innovation and growth efforts within companies like AT&T, Cox, Twitter, Cincinnati Bell, GroundTruth and K2View. She now leads strategy development and product innovation planning for the North American Financial Crimes Compliance market at LexisNexis® Risk Solutions.

Dennis Miralis, Partner
Nyman Gibson Miralis

Dennis Miralis is a leading Australian defence lawyer who acts and advises in complex domestic and international criminal law matters in the following areas: international money laundering; white-collar and corporate crime; serious fraud; cybercrime; international asset forfeiture; international proceeds of crime law; bribery and corruption law; transnational crime law; extradition law; mutual assistance in criminal law matters; anti-terrorism law; national security law; criminal intelligence law; and encryption law.

He appears in all courts throughout Australia and regularly travels outside of Australia for complex international / transnational criminal law matters.

Eric Bensky, Shareholder
Murphy & McGonigle

Eric A. Bensky focuses on securities litigation and enforcement, with an emphasis on representing prime brokers, clearing firms, and other broker-dealers in court, arbitration, and regulatory investigations and disciplinary proceedings.  Over the past several years, he has represented broker-dealers and their personnel in regulatory examinations, investigations, and enforcement proceedings concerning anti-money laundering obligations, particularly with respect to the monitoring, investigation, and reporting of potentially suspicious activity.  Non-broker-dealer clients have included a leading national and international bank, a major mutual fund complex, public companies and their officers and directors, individuals and entities suspected of or charged with insider trading, investment advisory firms, and hedge funds.

Agenda:

SEGMENT 1:

Tracy ManningDirector, Financial Crime Compliance

LexisNexis® Risk Solutions

  • COVID-19 impacts on the True Cost of Financial Crime Compliance
  • The impacts of accelerated Digital Transformation on financial crime compliance
  • Reducing sanctions risk in e-Commerce with digital identity

SEGMENT 2:

Dennis MiralisPartner

Nyman Gibson Miralis

  • Recent global tax investigations involving regulators and law enforcement in tax havens and the AML implications
  • AML updates in Australia including the recent settlement against the CBA
  • Fintel Alliance updates from annual 2020 report

SEGMENT 3:

Eric BenskyShareholder

Murphy & McGonigle

Broker-Dealers’ Suspicious Activity Monitoring and Reporting

  • The Broker-Dealer SAR Rule
  • Recent FinCEN Guidance re Customer Due Diligence Requirements
  • Transactions Drawing Regulators’ Scrutiny: Low-Priced Securities
  • Findings and Sanctions in Recent Enforcement Actions

Date & Time:

Monday, December 14, 2020

4:00 pm to 5:00 pm (ET)

Materials:

Download Course Materials

Who Should Attend:

  • Chief AML Officer
  • Financial Crime Investigators
  • Fraud Risk Managers
  • Fraud Investigators
  • AML Compliance Officers
  • Finance Compliance Professionals
  • Financial Compliance Officers
  • Chief Financial Officers
  • Chief Executive Officers
  • AML Analysts
  • Forensic Accounting Officers
  • Chief Compliance Officers
  • Internal Auditors
  • Lawyers
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SPEAKERS

Tracy ManningDirector, Financial Crime Compliance
LexisNexis® Risk Solutions
Dennis MiralisPartner
Nyman Gibson Miralis
Eric BenskyShareholder
Murphy & McGonigle

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