Criminal Justice Section
Detect. Prevent. Comply.
ABA/ABA Money Laundering Enforcement Conference For AML and Fraud Risk Professionals
November 11–13, 2012 | Washington Marriott Wardman Park | Washington, D.C.
aba.com/MLE | 1-800-BANKERS
Your Capital Source for Best Practices Benefit from two powerhouse organizations—the American Bankers Association and the American Bar Association—that deliver unmatched regulatory and legal expertise in the nation’s capital at the ABA/ABA Money Laundering Enforcement Conference.
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s recent enforcement actions have shown, regulators have continued to step up their scrutiny of BSA/AML policies and procedures. Although you and your bank are challenged with doing more with fewer resources, it is critical that you remain vigilant and avoid costly fines and penalties. Attend to hear specifics on how to fine-tune your BSA/AML program to keep pace with regulatory expectations and to tackle emerging international money laundering threats. You will return armed with practical tools to protect your institution against financial crimes.
Detect. “… BSA/AML risks are mutating, as criminal and terrorist elements alter their tactics to avoid detection and penetrate our defenses. … Controls that may be entirely adequate today may prove inadequate for tomorrow’s risks and threats. … [I]t is critical that banks and thrifts instill strong cultures and oversight processes.” Thomas J. Curry Comptroller of the Currency
Banks of all sizes will benefit from this diverse program of “how to” practical sessions offering case studies filled with new prevention, detection and compliance strategies. This conference, now in its 24th year, is your capital source for best practices.
Learn from the Best and the Brightest Attend sessions developed by an advisory board of senior-level experts with more than 300 years of combined experience in both domestic and international BSA/AML laws and regulations. It’s peer-to-peer learning and a superior value for dollars spent, allowing you in a short time to gain practical solutions, fresh ideas and an unmatched banker-specific focus on how to improve your BSA/AML compliance programs.
Washington, D.C.: Your One-Stop Learning Resource Choose from a wide array of sessions, from terrorist financing to human trafficking to the latest Ponzi and other financial crime schemes. Learn about new mobile payment technologies, recent IRS tax enforcement cases, the latest surveillance rules and much more. View the latest products, services and technologies when meeting industry suppliers in one convenient location. Earn valuable continuing education credits, including CRCM, CFSSP, CAMS, CPE, FIBA CPAML and CLE. (The American Bar Association secures CLE credits in all 50 states.)
REGISTER TODAY
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aba.com/MLE
ABA/ABA Money Laundering Enforcement Conference
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1-800-BANKERS
November 11–13, 2012
Prevent.
Optional Pre-Conference Workshop
“One of the features that’s unique to the ABA/ABA joint partnership is that bankers drive the bank side of the conference and bankers know what’s facing other bankers. … [T]he attorneys can relate what they are seeing in their sector back to the banking industry to provide tools for prevention, actual examples and positive feedback.”
ABA Fraud Identification and Prevention Workshop Improve fraud identification, monitoring and controls when you hear about the very latest fraud cases and red flags for fraud criminal activity. Workshop includes antifraud experts and banker-to-banker sharing of experiences and ideas.
American Bankers Association/ American Bar Association Members
$475
Saturday, November 10
Nonmembers $675
Visit aba.com/Fraud to view the workshop program and register online. This full-day optional pre-conference workshop is individually priced, and is separate from the conference registration fee. Fee includes full day workshop, continental breakfast, lunch and all workshop materials.
Christopher T. Spellman, CRCM Senior Vice President and Chief Compliance Officer Morrill & Janes Bank and Trust Company Merriam, Kansas
Register Today Register online at aba.com/MLE or call 1-800-BANKERS. Conference Registration Fees ABA Member/Service Member/Gov’t/CRCM/CFSSP
$1,190
American Bar Association Member
$1,190
Comply.
Nonmember $1,685 Spouse/Guest* $125
“BSA is still a hot topic. There has been so much happening with the regulatory compliance world that it’s easy to take the focus off of BSA. The conference makes it very clear to not drop the ball… it’s still very important to be diligent, and the regulators will back that up with huge fines.”
* A guest is a spouse, significant other or friend who is not in a financial services occupation. A coworker or associate within financial services may not be considered a guest.
Hotel Reservations Reserve Early and Save. Call 1-800-228-9290. Call the Washington Marriott Wardman Park Hotel at 1-800-228-9290 or 202-328-2000 to make your hotel reservations. Mention the ABA/ABA Money Laundering Enforcement Conference for the special discounted rate of $269 single or double occupancy, per night, per room, plus taxes. Reserve early as the hotel does not guarantee the conference rate after Friday, October 19, 2012.
Jeffrey A. Asher, CRCM, CAMS Senior Vice President FirstBank Lakewood, Colorado
Travel Discounts ABA offers special travel discounts through Delta Air Lines and Hertz Car Rental. Visit aba.com/Training/Conferences/Pages/travel.
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Schedule at a Glance Saturday, November 10
This advance program is subject to change. Visit aba.com/MLE to view the complete list of events and program updates.
Monday, November 12
7:30 AM–5:15 PM
7:00 AM–6:30 PM
Registration Open
Registration Open
8:15 AM–5:15 PM
7:00 AM–8:00 AM
Pre-Conference Workshop
Power Sessions 7:30 AM–8:00 AM
Sunday, November 11
Continental Breakfast in the Marketplace 8:15 AM–9:00 AM
8:00 AM–7:15 PM
General Session Keynote Address
Registration Open
9:00 AM–10:30 AM
Expanded Sessions
General Session Hot AML Issues in 2012 and What Should Be at the Top of Your To-Do List in 2013
1 How’s Your BSA/AML Program? 2 Filing CTRs and the New SAR Form: What You Need to Know
10:30 AM–11:00 AM
10:00 AM–11:30 AM
11:30 AM–1:30 PM
Lunch On Your Own 1:30 PM–2:45 PM
Concurrent Sessions—Series 1 1A Avoiding Audit Pitfalls (Repeated in 2A) 1B AML Third-Party Relationships: Managing the Risks (Repeated in 2B) 1C How to Implement and Tune Surveillance Rules (Repeated in 2C) 1D From the Desk of the IRS: Lessons Learned from Recent Tax Enforcement Cases (Repeated in 2D) 1E Current Issues in OFAC Compliance (Repeated in 2E)
3:00 PM–4:15 PM
Concurrent Sessions—Series 2 2A Avoiding Audit Pitfalls (Repeated from 1A) 2B AML Third-Party Relationships: Managing the Risks (Repeated from 1B) 2C How to Implement and Tune Surveillance Rules (Repeated from 1C) 2D From the Desk of the IRS: Lessons Learned from Recent Tax Enforcement Cases (Repeated from 1D) 2E Current Issues in OFAC Compliance (Repeated from 1E)
4:30 PM–6:00 PM
General Session What’s New in SAR Reporting? 6:00 PM–7:00 PM
Opening Reception in the Marketplace
Coffee Break in the Marketplace 11:00 AM–12:15 PM
Concurrent Sessions—Series 3 3A 3B 3C 3D
Managing International Risk in Money Laundering (Repeated in 4A) Critical Issues in Human Trafficking (Repeated in 4B) How to Design a Monitoring and Testing Program (Repeated in 4C) Remittances: New Consumer Rights for International Transfers (Repeated in 4D) 3E AML and Emerging Technology (Repeated in 4E)
12:15 PM–1:45 PM
Luncheon with Speaker 1:45 PM–2:15 PM
Dessert in the Marketplace 2:15 PM–3:30 PM
Concurrent Sessions—Series 4 4A 4B 4C 4D
Managing International Risk in Money Laundering (Repeated from 3A) Critical Issues in Human Trafficking (Repeated from 3B) How to Design a Monitoring and Testing Program (Repeated from 3C) Remittances: New Consumer Rights for International Transfers (Repeated from 3D) 4E AML and Emerging Technology (Repeated from 3E)
3:45 PM–5:15 PM
General Session Lessons Learned from Recent Fraud Cases 5:15 PM–6:30 PM
Reception in the Marketplace
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ABA/ABA Money Laundering Enforcement Conference
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November 11–13, 2012
2012 Exhibitors Tuesday, November 13 7:00 AM–4:00 PM
Registration Open 7:00 AM–8:00 AM
Power Sessions 7:30 AM–8:00 AM
Continental Breakfast in the Marketplace 8:15 AM–9:00 AM
General Session Keynote Address 9:00 AM–10:30 AM
General Session Ask the Regulators 10:30 AM–11:00 AM
Coffee Break in the Marketplace 11:00 AM–12:30 PM
Governance Deep Dive Sessions 1 BSA Governance, Oversight, Reporting and Structuring (Large Bank Focus) 2 BSA Governance, Oversight, Reporting and Structuring (Community Bank Focus)
12:30 PM–2:00 PM
(As of August 10, 2012)
n n n n n n n n n n n n n n n n n n n
AML RightSource Banker’s Toolbox, Inc. BankersAccuity Crowe Horwath LLP Deloitte Department of Homeland Security Detica NetReveal Fiserv GlobalVision Systems KPMG LLP LexisNexis Navigant Consulting Protiviti PwC Regulatory DataCorp (RDC) Safe Banking Systems LLC Thomson Reuters Accelus / World-Check Verafin Wolters Kluwer Financial Services
Luncheon with Speaker 2:00 PM–2:45 PM
Final Dessert in the Marketplace 2:45 PM–4:00 PM
Who Should Attend?
Closing General Session How Well Do You Know Your Account Holder? Beneficial Ownership and Domestic PEPs
BSA/AML Officers from all sizes of institutions
4:00 PM
In-house and Outside Counsel
Conference Adjourns
Internal and External Auditors Banking Regulators and Examiners Law Enforcement Officials Fraud Investigators and Officers Risk Managers Consultants
REGISTER TODAY! aba.com/MLE
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Conference Sponsors
(As of August 10, 2012)
Professional Certification & Continuing Education Credits The American Bar Association Criminal Justice Section is the premier source of knowledge and insight into the complex Criminal Justice issues of criminal justice that face the nation. Section By bringing together the perspectives of prosecutors, defense lawyers, judges, forensic accountants, scholars, and others the Section provides valuable and thoughtfully crafted products to its members, to the legal profession overall, and to the nation. The achievement of justice is the abiding purpose of the Section and makes it the unified voice of criminal justice. Mandatory Continuing Legal Education (CLE) accreditation has been requested from all states that require continuing legal education. Please be aware that each state has its own rules and regulations, including its definition of CLE as well as “Ethics.” Therefore, certain programs may not receive credit in some states. Please check with your state agency for confirmation of general as well as ethics approval for any program. You may contact the American Bar Association Service Center at 800-285-2221 for confirmation of CLE credit hours. This program will be sent to the Association of Certified Anti-Money Laundering Specialists (ACAMS) for continuing education credit evaluation.
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The Institute of Certified Bankers (ICB) is dedicated to promoting the highest standards of performance and ethics within the financial services industry. The 2012 ABA/ABA Money Laundering Enforcement Conference is under review for CRCM and CFSSP credits. Check aba.com/Events/MLE.htm for continuing education credit updates. The American Bankers Association is registered with the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Web site: nasba.org. This program is under review for credits. How the hours breakdown will depend on each attendee’s choices in the many electives.
ABA/ABA Money Laundering Enforcement Conference
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November 11–13, 2012
Meet the Conference Advisory Board Industry-Developed and Industry-Delivered by Today’s Top Experts We’ve assembled a distinguished faculty with more than 300 years of experience, uniquely qualified in both domestic and international BSA/AML and fraud laws and regulations. Gain cutting-edge expertise and the most advanced tools and trends from today’s industry leaders.
Co-Chairs
Members
Gordon Greenberg Partner McDermott Will and Emery Los Angeles, California
Alan Abel, CPA/CFF, CFE Executive and Global AML Practice Leader, Regional Leader – Regulatory Compliance Crowe Horwath LLP Fort Lauderdale, Florida
Richard A. Small Vice President Enterprise Wide Anti-Money Laundering and Sanctions Risk Management American Express New York, New York
Gregory Baldwin Partner Holland & Knight LLP Miami, Florida Elliot H. Berman Senior Vice President and General Counsel Johnson Financial Group, Inc. Racine, Wisconsin John Caruso Managing Director and Head of AML Compliance, Americas Deutsche Bank New York, New York María De Lourdes Jiménez, Esq. Senior Vice President and Manager, Corporate Compliance Division Popular, Inc. San Juan, Puerto Rico Megan Hodge Chief Compliance Officer RBC Bank USA Raleigh, North Carolina Lester M. Joseph International Investigations Manager, Financial Intelligence Unit Wells Fargo & Company Mclean, Virginia
William D. Langford, Jr. Head of Enterprise Financial Crimes Compliance JP Morgan Chase New York, New York Peter J. Neilson, CAMS Senior Vice President, Director of AML Compliance Capital One Bank New Orleans, Louisiana Wilmer Parker Partner Maloy Jenkins Parker Atlanta, Georgia Anna M. Rentschler, CRCM, CAMS, AMLP Vice President and BSA Officer Central Bancompany Jefferson City, Missouri Amy G. Rudnick Partner Gibson, Dunn & Crutcher, LLP Washington, D.C. Christopher T. Spellman, CRCM Senior Vice President and Compliance Officer Morrill & Janes Bank and Trust Company Merriam, Kansas Brian J. Wimpling, CAMS Senior Vice President Capital City Bank Tallahassee, Florida
Testimonials used in this brochure are unpaid endorsements. Views expressed are individual. Christoper Spellman is a member of the 2012 ABA/ ABA Money Laundering Enforcement Conference Advisory Board. Jeffrey A. Asher is a past attendee of the ABA/ABA Money Laundering Enforcement Conference. Remark by Thomas J. Curry, were excerpted from his remarks before the Exchequer Club, May 16, 2012.
aba.com/MLE
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1-800-BANKERS
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1120 Connecticut Avenue, NW Washington, DC 20036
Criminal Justice Section
Detect. Prevent. Comply. ABA/ABA Money Laundering Enforcement Conference For AML and Fraud Risk Professionals November 11–13, 2012 | Washington Marriott Wardman Park | Washington, D.C.
Two Quick and Easy Ways to Register aba.com/MLE 1-800-BANKERS (226-5377)
ABA/ABA Money Laundering Enforcement Conference For AML and Fraud Risk Professionals November 11–13, 2012 | Washington Marriott Wardman Park | Washington, D.C.