Digital Assets Compliance: AML, Sanctions & Regulatory Oversight - DS by C5Group

EARN CLE CREDITS

October 17–18, 2023 • NY Bar Association, New York, NY

Digital Assets Compliance: AML, SANCTIONS & REGULATORY OVERSIGHT Implementing Effective Compliance Programs to Strengthen the Industry

Key Updates from SEC, DOJ, DFS and OFAC: David Hirsch Chief, Crypto Asset and Cyber Unit, Division of Enforcement U.S. Securities and Exchange Commission Josh Jungman Policy Chief, Compliance Division Office of Foreign Assets Controls U. S. Department of theTreasury Tara La Morte Co-Chief, Money Laundering & Transnational Criminal Enterprises Unit, Asset Forfeiture Coordinator U.S. Attorney’s Office, Southern District of NY

Molly Moeser Acting Chief, Money Laundering and Asset Recovery Section U.S. Department of Justice Kevin O’Connor Chief, Virtual Assets and Emerging Technology Section, Enforcement and Compliance Division Financial Crimes Enforcement Network (FinCEN) Liz Pendleton Chief Trial Attorney U.S. Commodity Futures Trading Commission

Kevin Puvalowski Senior Deputy Superintendent – Consumer Protection and Financial Enforcement New York State Department of Financial Services Jorge G. Tenreiro Deputy Chief, Crypto Assets and Cyber Unit, Division of Enforcement U.S. Securities and Exchange Commission

Don’t Miss Our Pre-Conference Workshop

October 17th • 9:00–12:00 Digital Assets Primer: Unpacking the Regulatory Landscape of Recent Enforcement Actions

Benchmark with Senior Executives from: • Affirm • Arival Bank • Ava Labs • BitGo • Circle Internet Financial • Coinbase • Crypto.com • DELV • Google

Supporting Sponsor

Cocktail Reception Sponsor

Associate Sponsors

AmericanConference.com/Digital-Assets • 888 224 2480

• Horizon Blockchain Gaming • Kraken Digital Asset Exchange • Mastercard • Meta • PayPal • Paxos • Ripple • Robinhood • WisdomTree

Part of C5 Group’s ECONOMIC SANCTIONS GLOBAL SERIES

Distinguished Speaker Faculty SENIOR GOVERNMENT OFFICIALS David Hirsch Chief, Crypto Asset and Cyber Unit Division of Enforcement U.S. Securities and Exchange Commission Josh Jungman Policy Chief, Compliance Division Office of Foreign Assets Controls U.S. Department of the Treasury Tara La Morte Co-Chief, Money Laundering & Transnational Criminal Enterprises Unit, Asset Forfeiture Coordinator U.S. Attorney’s Office, Southern District of NY Molly Moeser Acting Chief, Money Laundering and Asset Recovery Section U.S. Department of Justice Kevin O’Connor Chief, Virtual Assets and Emerging Technology Section, Enforcement and Compliance Division Financial Crimes Enforcement Network (FinCEN) Liz Pendleton Chief Trial Attorney U.S. Commodity Futures Trading Commission Kevin Puvalowski Senior Deputy Superintendent – Consumer Protection and Financial Enforcement New York State Department of Financial Services

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John Davidson Global Head of Financial Crimes and Compliance WisdomTree

Jorge G. Tenreiro Deputy Chief, Crypto Assets and Cyber Unit, Division of Enforcement U.S. Securities and Exchange Commission

Duncan DeVille Global Head of Financial Crimes Compliance, and Head of Compliance of the Americas, EVP Crypto.com

MEET OUR ESTEEMED SPEAKERS Andrew C. Adams Partner Steptoe & Johnson LLP

Tony Gagliardi Director of Oversights Paxos

Michael Aleman Senior Director, Global Financial Crime Blockchain Innovation PayPal

Nomi Goheer Assistant General Counsel – Financial Crimes Robinhood

Elizabeth S. Boison Partner Hogan Lovells US LLP

Zachary Goldman Partner WilmerHale

Stephanie Brooker Partner Gibson, Dunn & Crutcher LLP

Nishi Gupta General Counsel and Chief Compliance Officer Arival Bank

Becky Catanese Head of Compliance, U.S. & Canada Crypto.com

Laura Hildebrandt Manager, FCC Program Transformation, Controls, & Partnerships Coinbase

Carolina Ceballos Chief Compliance Officer Paxos Wee Ming Choon Deputy General Counsel Ava Labs

USER

Court Hillman Director, Financial Crimes Compliance Coinbase

Sharon Cohen Levin Partner Sullivan & Cromwell LLP

Michael Sew Hoy Associate General Counsel Meta

Ian Daher Senior Director, Financial Crimes, Global Head of AML/CTF and Sanctions; BSA Officer Affirm

Valerie-Leila Jaber Global Head of Financial Crimes Compliance Coinbase

Jeremy Kuester Head of Financial Crime Legal Stripe Gregory C.J. Lisa Chief Legal Officer DELV (formerly Element Finance, Inc.) Jennifer Lorentz Vice President, Senior Managing Counsel – Regulatory Affairs – Crypto, Blockchain, Digital Mastercard Mansi Mehta Director – Forensics BDO Bradford Newman Partner Baker & McKenzie LLP Josh Peschko Head of Compliance Talos CJ Rinaldi Chief Compliance Officer Kraken Andrew Rosenberg Senior Director Ripple Andrea Sharrin SVP, Global Head of Financial Crime FIS Brian Walsh Deputy BSA Officer BitGo Richard Widmann Head of Strategy, Digital Assets Google

WHO SHOULD ATTEND

This conference is for those working in digital assets including cryptocurrencies, NFTS, exchanges, blockchains, data aggregators, risk management, financial institutions, fintech and payment providers. • AML and Sanctions Professionals • Legal Counsel • Regulators • Law Enforcement • Financial Crime Officers • Compliance Professionals • Consultants • Investigations and Audit Professionals

Tuesday, October 17, 2023 PRE-CONFERENCE WORKSHOP

Stephanie Brooker, Partner, Gibson, Dunn & Crutcher LLP – Moderator • Updates on enforcement trends and priorities • Ongoing discussion on whether crypto is a security or commodity • Consumer protection considerations • States taking a more active role in the enforcement arena

9:00–12:00 (Registration at 8:00)

Digital Assets Primer: Unpacking the Regulatory Landscape and Practical Impact of Recent Enforcement Actions Microphone-alt Elizabeth S. Boison, Partner, Hogan Lovells US LLP Zachary Goldman, Partner, WilmerHale This practical session is for those who are new to crypto, as well as experienced professionals looking for an in-depth understanding of the intricacies of the regulatory landscape for digital assets. This interactive session will explore the significant enforcement actions of the past 12 months, so bring your questions and deepen your knowledge. Topics will include: • Discussion of the key agencies trying to regulate crypto, including DOJ, CFTC, SEC, OFAC, and FInCEN • What happened with TerraUS, Luna, FTX and Binance? • Ongoing Coinbase lawsuit • Key takeaways from recent penalties • Overview of global regulatory bodies and significant developments abroad 12:15

Registration

1:00

Co-Chairs’ Opening Remarks microphone-alt Carolina Ceballos, Chief Compliance Officer, Paxos Duncan DeVille, Global Head of Financial Crimes Compliance, and Head of Compliance of the Americas, EVP, Crypto.com 1:15

More Investigations, More Enforcement: Prosecutors Address the Crypto and Digital Asset Community on Trends and Priorities microphone-alt Tara La Morte, Co-Chief, Money Laundering & Transnational Criminal Enterprises Unit, Asset Forfeiture Coordinator, U.S. Attorney’s Office, Southern District of NY Molly Moeser, Acting Chief, Money Laundering and Asset Recovery Section, U.S. Department of Justice Liz Pendleton, Chief Trial Attorney, U.S. Commodity Futures Trading Commission Kevin Puvalowski, Senior Deputy Superintendent – Consumer Protection and Financial Enforcement, New York State Department of Financial Services

2:30

Senior Executive Roundtable: Perspectives on the Biggest Risks and Grey Areas of Financial Crime Compliance

microphone-alt CJ Rinaldi, Chief Compliance Officer, Kraken Digital Asset Exchange Josh Peschko, Head of Compliance, Talos Gregory C.J. Lisa, Chief Legal Officer, DELV (formerly Element Finance, Inc.) Sharon Cohen Levin, Partner, Sullivan & Cromwell LLP Join an interactive conversation with key executives on how they view the current regulatory environment, what keeps them up at night and their predictions for the future of crypto risk. 3:15

Networking Break

3:45

Critical Takeaways for Customer Onboarding and Ongoing Monitoring: Leveraging Compliance, AI, and Analytics to Mitigate AML and Sanctions Risks microphone-alt John Davidson, Head of Financial Crimes and Compliance, WisdomTree Andrew Rosenberg, Senior Director, Ripple Daniel Burget, Director, Legal Compliance, BDO • Establishing strong customer identification procedures • New and ongoing customer due diligence best practices • Calculating an initial customer risk rating and closely monitoring high risk customers 4:30

Keynote Interview with the SEC David Hirsch, Chief, Crypto Asset and Cyber Unit, Division of Enforcement, U.S. Securities and Exchange Commission Bradford Newman, Partner, Baker & McKenzie LLP 5:15

wine-glass Networking Reception Sponsored by

Jorge G. Tenreiro, Deputy Chief, Crypto Assets and Cyber Unit, Division of Enforcement, U.S. Securities and Exchange Commission

AmericanConference.com/Digital-Assets • 888 224 2480

Part of C5 Group’s ECONOMIC SANCTIONS GLOBAL SERIES

Wednesday, October 18, 2023 8:45

Co-Chairs’ Opening Remarks 9:00

Keynote Interview with OFAC and FinCEN microphone-alt Josh Jungman, Policy Chief, Compliance Division, Office of Foreign Assets Controls, U.S. Department of the Treasury Kevin O’Connor, Chief, Virtual Assets and Emerging Technology Section, Enforcement and Compliance Division, Financial Crimes Enforcement Network (Invited) Andrew C. Adams, Partner, Steptoe & Johnson LLP 9:45

The Legal and Compliance Pitfalls of Pilot Programs, Test Cases and New Products: How to Prioritize Compliance from the Start microphone-alt Nomi Goheer, Assistant General Counsel – Financial Crimes, Robinhood • Future of digital wallets • Using NFT to increase brand experience and fan engagement • Regulator created innovation labs • Dropt.io and Nike 10:30

Networking Break

10:45

International Developments: New Regulatory Requirements in the EU, Singapore, UAE, and UK microphone-alt Jennifer Lorentz, Vice President, Senior Managing Counsel – Regulatory Affairs – Crypto, Blockchain, Digital, Mastercard microphone-alt Wee Ming Choon, Deputy General Counsel, Ava Labs • MICA: Markets in Crypto-Assets Regulation – EU Framework • UAE and Hong Kong to partner on crypto regulation • FCA policy statement on promotion rules for crypto assets • Possibility of US companies finding friendly regulatory regimes • Central Bank digital currency tracker

11:45

Web 3 Developments: Promising Technology and the Emerging, New Compliance Challenges microphone-alt Nishi Gupta, General Counsel and Chief Compliance Officer, Arival Bank Richard Widmann, Head of Strategy, Digital Assets, Google Mansi Mehta, Director – Forensics, BDO • Latest in NFT developments • Meeting DeFi challenges with technology • Potential RegTech solutions • Predictions for the future 12:30

Networking Lunch

1:45

TRUST Coalition: Regulatory Trends for Cryptocurrency Travel Rule Compliance microphone-alt Valerie-Leila Jaber, Global Head of Financial Crimes Compliance, Coinbase Michael Aleman, Senior Director, Global Financial Crime Blockchain Innovation, PayPal Brian Walsh, Deputy BSA Officer, BitGo Laura Hildebrandt, Manager, FCC Program Transformation, Controls, & Partnerships, Coinbase – Moderator

• Insight into how the industry is working together on compliance • Early successes and current activities • How the Travel Rule can be enforced not just for the local jurisdictions but across countries • What to expect in the next 6 months 2:30

Networking Break

2:45

More Innovation: Key Compliance Trends in FinTech Payments microphone-alt Ian Daher, Senior Director, Financial Crimes, Global Head of AML/CTF and Sanctions; BSA Officer, Affirm Michael Sew Hoy, Associate General Counsel, Meta Andrea Sharrin, SVP, Global Head of Financial Crime, FIS Jeremy Kuester, Head of Financial Crime Legal, Stripe

• Impact of many new money transmitter licenses being issued • How fintech and crypto are working together? • How crypto is being used currently for payments • Successful compliance tools to safeguard your assets

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3:30

Working Together: Strengthening the Synergy Between Financial Institutions and the Crypto Industry microphone-alt Becky Catanese, Head of Compliance, U.S. & Canada, Crypto.com Tony Gagliardi, Director of Oversights, Paxos Court Hillman, Director, Financial Crimes Compliance, Coinbase • Onboarding of crypto companies • Changing custody landscape • Payments and crypto going forward • Crypto and law enforcement working together • Efforts to prevent crypto being used in evasion and diversion 4:30

Media Partners

End of Conference

Upcoming Events

September 28 – 29, 2023 | Washington, DC

October 12–13, 2023 | Washington, DC

16–17 November 2023 | London

December 13–14, 2023 | New York, NY

Join this exclusive legal and compliance cross-industry community! WOMEN IN SANCTIONS NETWORK

The Women in Sanctions Network (WSN) is a global community of like-minded women working in economic sanctions. Join us as members share expert knowledge, support each other’s growth, and celebrate achievements together. The WSN is committed to promoting diversity across the profession, creating worthwhile networking and educational programs, and updating members on employment and advancement opportunities. WomenSanctionsNetwork.com

AmericanConference.com/Digital-Assets • 888 224 2480

Part of C5 Group’s ECONOMIC SANCTIONS GLOBAL SERIES

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EARN CLE

Continuing Legal Education Credits

CREDITS

Accreditation will be sought in those jurisdictions requested by the registrants which have continuing education requirements. This course is identified as nontransitional for the purposes of CLE accreditation. ACI certifies this activity has been approved for CLE credit by the New York State Continuing Legal Education Board. ACI certifies this activity has been approved for CLE credit by the State Bar of California. ACI has a dedicated team which processes requests for state approval. Please note that event accreditation varies by state and ACI will make every effort to process your request. Questions about CLE credits for your state? Visit our online CLE Help Center at www.americanconference.com/accreditation/cle/

 C5 celebrates 40 years of excellence! We are thrilled to have provided exceptional conference experiences globally with our outstanding team, speakers, sponsors, partners, and attendees. To mark this milestone, we're launching a new logo which represents our commitment to innovation, growth, and excellence, represented by the five Cs of C5: Current, Connected, Customer-Centric, Conscientious, and Committed. Looking back on 40 years, we are grateful for our achievements—hosting global conferences, uniting industry leaders, and supporting business growth. However, we are not done yet! We are committed to pushing boundaries and creating impactful experiences and we're excited for the next 40 years of success.

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New York Bar Association 42 West 44th Street, New York, NY 10036

The Iroquois New York 49 West 44th Street, New York, New York, United States, 10036 1-212-453-4067 American Conference Institute is pleased to offer our delegates a limited number of hotel rooms at a negotiated rate. To take advantage of these rates, please contact the hotel directly and quote “ACI’s October Room Block”. Please note that the guest room block cut-off date is September 17th, 2023. After that date OR when the room block fills, guestroom availability and rate can no longer be guaranteed.

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Register and pay to lock in your early rate and be eligible for a full refund until October 2, 2023. If you are unable to attend for any reason, you will have the following options: y A full credit note for you, or a colleague to attend another event. y A full refund. All cancellations and changes must be submitted to CustomerService@AmericanConference.com by October 2, 2023.

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