SAVE $300 with code WEB-300. See back pg for details.

CONFERENCE
March 19-21, 2012

ANTI-MONEY LAUNDERING
Co-Organized by
The Westin Diplomat Hollywood, Florida

17TH ANNUAL INTERNATIONAL

HigH-Profile Keynote SPeaKerS:

NYT/Fred Conrad

adaM szuBin Director, Office of Foreign Assets Control (OFAC) us department of Treasury
Diamond Sponsor

J. ChRis WaRReneR Section Chief, Terrorist Financing Operations Section, Division 13 Federal Bureau of investigation
Platinum Sponsor

diana B. henRiques Senior Financial Writer The New York Times

Author of The Wizard of Lies
Gold Sponsor

Register today at MoneyLaunderingConference.com

The PreeminenT Global aml Forum

A Special Message from ACAMS Executive Vice President

ACAMS has always welcomed the opportunity to participate with our colleagues at the MoneyLaundering.com conferences. I am pleased to announce that this year ACAMS is playing a much larger role in planning MoneyLaundering.coms 17th annual international aML Conference. As co-organizers for 2012, I have ensured that topics, speakers and activities that are representative of the ACAMS community are included to support this highly acclaimed program. In addition to the conference program, the pre- and postconference workshops continue to address the critical issues you have told us you need to keep pace with the vast array of AML and related issues. With a stronger ACAMS presence this March in Hollywood, you will benefit from MoneyLaundering.coms superb reputation. Do not miss this valuable opportunity for hands-on training from the expertsregister your team today. I look forward to seeing you in Hollywood! Sincerely,

CONFERENCE

ANTI-MONEY LAUNDERING

17TH ANNUAL INTERNATIONAL

Other aML Conferences

Participation across industries including banking, securities, MSBs and insurance

Exclusive to banking

International speakers and attendees from 80+ countries

US-centric sessions and speakers

Topics include elder abuse, audit, fraud, corruption and other financial crime

Only AML

Partnerships with internationally renowned associations, including ACAMS

Limited endorsements

John J. Byrne, CAMS executive Vice President Association of Certified Anti-Money Laundering Specialists (ACAMS)
2

Since 1994 the MoneyLaundering.com annual conference has hosted nearly 10,000 executives at the worlds largest multi-industry forum for unparalleled executive networking and leading-edge global intelligence. No other AML conference provides as many thought-provoking sessions or offers as much informal face time with an international Whos Who of AML. Public and private institutionsacross all regions, asset sizes and industries mark their calendars annually for this all-inclusive AML event.

Register Today! MoneyLaunderingConference.com +1 305.530.0500

SPonSorS & exhibiTorS D I AM OnD SP O nS OR

KPMG ForensicSM is an international network of professionals within KPMGs member firms who are committed to helping businesses prevent, detect, and respond to serious integrity risks. Consisting of a diverse team of former prosecutors, regulators, and law enforcement agents, as well as forensic accountants and IT professionals, KPMGs Forensic professionals help a broad spectrum of financial institutions develop robust compliance programs, including antimoney laundering (AML), fraud, and misconduct programs. our clients, which include banks, securities firms, credit card operators, mutual funds, casinos, and Money Services Business, can confidently face the challenges posed by the USA PATrIoT Act, Bank Secrecy Act, as well as fraud and misconduct. our specific AML services include risk identification, assessment and categorization, investigation, lookbacks, gap analysis, restructuring, monitoring, and training and education. In todays volatile business climate, KPMG Forensic can help keep your business pointed in the right direction.

S P O nSORS
AML Education Session & Cocktail Reception

www.boozallen.com/FAS

AML Education Session

us.kpmg.com

deticanetreveal.com

PL AT In uM SP On S OR
ernst & young is a global leader in assurance, tax, transaction and advisory services. Worldwide, our 141,000 people are united by our shared values and an unwavering commitment to quality. We make a difference by helping our people, our clients and our wider communities achieve their potential. ernst & young refers to the global organization of member firms of ernst & young Global Limited, each of which is a separate legal entity. ernst & young Global Limited, a UK company limited by guarantee, does not provide services to clients. For more information about our organization, please visit www.ey.com.

AML Education Session

dowjones.com/riskandcompliance

ey.com

GO L D S P On S O R
regulatory DataCorp Inc., known as rDC, is the industrys fastest growing risk intelligence company, delivering powerful, decision-ready due diligence information and world-class risk and compliance protection, allowing global organizations to identify banned or suspect entities, strengthen fraud protection, ensure regulatory compliance, manage supply and distribution risk, and protect their brand equity.

Conference Bag & Lanyards

gv-systems.com

rdc.com Registration

EXHIBITORS
ACAMS Accuity AML Analytics Aquilan Technologies Incorporated Booz Allen Hamilton ComplianceAdvantage.com Detica NetReveal Dow Jones Risk & Compliance Ernst & Young Esri FinScan FircoSoft GlobalVision Systems, Inc. KPMG MoneyLaundering.com NICE Actimize PwC RDC Safe Banking Systems TAMLO Thomson Reuters U.S. Immigration and Customs Enforcement - Homeland Security Investigations World Compliance
safe-banking.com

Contact Andrea Winter at +1 917.214.6875 or awinter@moneylaundering.com for information about customized sponsor and exhibitor packages
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View the complete list of sponsors and exhibitors at MoneyLaunderingConference.com

ProGram aT-a-Glance*
Pre-conference WorkShoPS SUnDaY, March 18
9:30 AM 4:30 PM 1:00 PM 2:00 PM 2:00 PM 5:00 PM 2:00 PM 5:00 PM

CAMS Examination Seminar (Separate registration required.) Pre-Conference Workshop Check-in (Separate registration required.)
WORkshOp a: Benchmarking Your AML/CTF Program: Assessing Deficiencies to Avoid an Investigation WORkshOp B: Counter-Terrorist Financing: new Intelligence Methods to Detect, Deter, and Disrupt Terrorist Financial Operations

MaIn conference DaY one MonDaY, March 19

7:30 AM 6:30 PM 7:30 AM 7:00 PM 7:30 AM 8:30 AM

Registration Desk Open Registration courtesy of Safe Banking Systems. Conference Bag and Lanyard courtesy of GlobalVision Systems, Inc. Exhibit Hall Open Networking Breakfast in Exhibit Hall General SeSSIonS Welcome Remarks keynote Interview: Adam Szubin, Director, Office of Foreign assets Control, us department of the Treasury paneL disCussiOn: Institutions Learn?
CASE STUDY

8:30 AM 8:40 AM 8:40 AM 9:25 AM 9:25 AM 10:35 AM 10:35 AM 11:05 AM 11:05 AM 12:15 PM 12:15 PM 1:30 PM

Critical Insight from Recent Enforcement Actions: What Lessons Can Financial

Networking and Refreshment Break in Exhibit Hall paneL disCussiOn: Preparing for the next Generation of Money Launderers: Mitigating Threats Posed by m-Payments and e-Money Networking Luncheon concUrrenT SeSSIonS Global Risk and Opportunities
Building a Solid Compliance Program to Mitigate Risk in Brazil, Russia, India, China and South Africa (BRICS)

1:30 PM 2:45 PM

Audit Techniques and Tools

Connecting the Dots with Auditors and Examiners: Overcoming Training Challenges to Ensure Effective Communication

Trends in Technology
New Trends in e-Payment Methods: Understanding the Virtual Customer

Latin America and the Caribbean

Implementing the Foreign Account Tax Compliance Act (FATCA) and US Tax Provisions in Your Compliance Program

Non-Depository Institutions
Understanding FinCENs Requirements of Foreign MSBs and Implications for US Financial Institutions

MSB Working Group

Multi-State Examinations: Best Practices to Manage and Meet Regulators Expectations

2:45 PM 2:55 PM 2:55 PM 4:10 PM

Time to move to next session Global AML Compliance

The Foreign Account Tax Compliance Act (FATCA) from an AML Perspective: Tax, AML and KYC Come Together

Audit Techniques and Tools

Understanding the Role of Audit and Management Testing in Your Institution

AML Education Session

Counter-Terrorist Financing: New Intelligence Methods to Detect, Deter, and Disrupt Terrorist Financial Operations Courtesy of Booz Allen Hamilton

Latin America and the Caribbean

Identifying the Correspondent Banking Risks of Dollarized Economies in the Caribbean

Non-Depository Institutions
Insurance Focus: OFAC Sanctions Risk Management: Prevention, Challenges and Outlook

Small Institutions Working Group

Tailoring Your Transaction Monitoring System to Meet Your Institutions Needs

4:10 PM 4:40 PM 4:40 PM 5:55 PM

Networking and Refreshment Break in Exhibit Hall Global AML Compliance

CASE STUDY Remodeling Operational Structure: A New Approach to AML

Audit Techniques and Tools

Performing an IT Audit: Know the Challenges to Maintain Sound Operations

Trends in Technology
CASE STUDY Combating Online Payment Fraud: Implement Controls to Protect your Customers and Comply with FFIEC Guidelines

Global Risk and Opportunities

CASE STUDY Operation Pacific Rim: the Take Down of a Billion-Dollar Colombian Drug Trafficking Organization

Non-Depository Institutions
Securities Focus: Reverse Mergers, Penny Stock and Micro-Cap Securities FraudWhat are the AML Risks and Regulatory Expectations?

AML Education Session

Courtesy of Dow Jones

6:00 PM 7:00 PM

Networking Reception in Exhibit Hall courtesy of ACAMS

Register Today! MoneyLaunderingConference.com +1 305.530.0500

MaIn conference DaY TWo TUeSDaY, March 20

7:30 AM 6:00 PM 7:30 AM 6:00 PM 7:30 AM 8:30 AM

Registration Desk Open Registration courtesy of Safe Banking Systems. Conference Bag and Lanyard courtesy of GlobalVision Systems, Inc. Exhibit Hall Open Networking Breakfast in Exhibit Hall General SeSSIonS keynote Presentation: Chris Warrener, Section Chief, Terrorist Financing Operations Section, Division 13, Federal Bureau of investigation paneL disCussiOn: Assessing the Effectiveness of the Financial Action Task Force (FATF): Are the 40+9 Recommendations Working? Networking and Refreshment Break in Exhibit Hall paneL disCussiOn: Global Anti-Bribery Initiatives: Preparing for the Impact of the Foreign Corrupt Practices Act (FCPA) and uK Bribery Act Requirements Networking Luncheon concUrrenT SeSSIonS Global AML Compliance
Abiding by Foreign Privacy Laws when Performing Enhanced Due Diligence

8:30 AM 9:15 AM 9:15 AM 10:30 AM 10:30 AM 11:00 AM 11:00 AM 12:15 PM 12:15 PM 1:30 PM

1:30 PM 2:45 PM

Global Risk and Opportunities

Tackling the Global Threat of Trade-based Money Laundering

Latin America and the Caribbean

CASE STUDY Emerging Money Laundering Threats in South America: American Deposit Receipts (ADRs) and US Securities Markets

Non-Depository Institutions
MSB Intensive: Developing Effective Suspicious Activity Reports (SARs/STRs)

Small Institutions Working Group

Overcoming the Challenges of EDD: Completing a Risk Assessment of Your CIP Program

AML Education Session

Courtesy of Detica NetReveal

2:45 PM 2:55 PM 2:55 PM 4:10 PM

Time to move to next session Global AML Compliance

Obtaining Funding for Your AML Program: How to Sell AML and Compliance Internally

Global Risk and Opportunities

DEBATE Balancing Law Enforcement Partnerships with Regulator Expectations

Latin America and the Caribbean

Blocking Illicit Proceeds: Understanding the Effects of Mexicos New Money Laundering Legislation

Non-Depository Institutions
The 21st Century MSB: Implementing New Regulations, Analyzing Migration Trends and Adopting New AML Surveillance Systems

Securities Working Group

Beneficial Ownership Assessment and Management

Trends in Technology
Merging Fraud and AML Investigations: Connecting Intelligence through Technology

4:10 PM 4:40 PM 4:40 PM 5:55 PM

Networking and Refreshment Break in Exhibit Hall Global AML Compliance

Outsourcing and Off-Shoring AML: Identifying Best Practices and Common Pitfalls

Global Risk and Opportunities

Understanding the Financial Institutions Role in Preventing Elder Abuse

Latin America and the Caribbean

The Independent Audit Process in the Caribbean: Strategies for Working with Regulatory Authorities and Creating Internal Oversight

Non-Depository Institutions
Securities Focus: Addressing Increased Expectations of International Regulators

Insurance Working Group

AML Training Strategies for Insurance Agents and Producers

Global AML Compliance

DEBATE Dodd-Franks Whistleblower Provisions: Do They Protect the AML Professional?

6:00 PM 7:00 PM 6:00 PM 7:00 PM

author Book signing with diana B. henriques Networking Reception courtesy of Booz Allen Hamilton MaIn conference DaY Three WeDneSDaY, March 21

7:30 AM 12:15 PM 7:30 AM 10:45 AM 7:30 AM 8:30 AM

Registration Desk Open Registration courtesy of Safe Banking Systems. Conference Bag and Lanyard courtesy of GlobalVision Systems, Inc. Exhibit Hall Open Networking Breakfast in Exhibit Hall General SeSSIonS keynote Presentation: Diana B. Henriques, Senior Financial Writer, The new York Times, Author of The Wizard of Lies, The White Sharks of Wall Street, Fidelitys World and The Machinery of Greed paneL disCussiOn: Designing an AML Framework for the new Global Financial Crime Paradigm Networking and Refreshment Break in Exhibit Hall paneL disCussiOn: The Way Forward: Challenges and Opportunities in Compliance in the Year Ahead Closing Remarks PoST-conference WorkShoPS WeDneSDaY, March 21

8:30 AM 9:15 AM 9:15 AM 10:30 AM 10:30 AM 11:00 AM 11:00 AM 12:15 PM 12:15 PM 12:30 PM

1:00 PM 2:00 PM 2:00 PM 5:00 PM 2:00 PM 5:00 PM

Post-Conference Workshop Check-in (Separate registration required.)

WORkshOp C: understanding International Sanctions Requirements to Mitigate Risk and Prevent Penalties WORkshOp d: Effectively Managing Your AML Quality Assurance Program

*Program and speakers subject to change. Visit MoneyLaunderingConference.com for updates.

Visit MoneyLaunderingConference.com for program and speaker updates

conFerence ProGram
Get the most out of your conference experience by attending targeted pre- and post-conference workshops. Each half-day session offers in-depth, practical guidance to augment your knowledge and provide you with tools and strategies that you can immediately apply to your AML program. (Separate registration is required. Workshop registration includes materials and refreshments. See back page for registration details.)

Pre-conference WorkShoPS WORkshOp a: Benchmarking Your aML/CTF program: assessing deficiencies to avoid an investigation
With so many well-established institutions under intense regulatory scrutiny for failure to implement effective AML programs, this must-attend workshop is tailored to the needs of compliance professionals in global banks and financial institutions. Let expert presenters walk you through details of recent enforcement actions and pinpoint the specific missteps that led to the breakdown of the compliance program. Then, participate in exercises to assess your institutions vulnerabilities and outline a plan to correct weak spots. Strategies to navigate the massive complications of acquiring and merging with another entity will also be outlined. And finally, the scope of your institutions internal audit process will be explored as an essential step to test your programs effectiveness. Attend this hands-on workshop to: Calibrate your AML program to the specific risks your institution faces Ensure that written policies and procedures are adhered to across the organization Apply consistent data system controls to accommodate conflicts across jurisdictions Review the key elements of a successful audit and learn how to apply findings to strengthen your institutions program Learn to adequately address regulatory questions and expectations regarding EDD and other processes

sunday, March 18 | 2:00 pM 5:00 pM WORkshOp B: Counter Terrorist Financing: new intelligence Methods to detect, deter, and disrupt Terrorist Financial Operations
Through actionable intelligence, this workshop shows you how to mitigate the risk to your financial institution of money laundering and fraud by terrorist organizations. Join your peers in a unique task-based workshop that places you in the middle of a Terrorist financing operationwill you be able to detect, deter, and disrupt that operation? Dont miss this opportunity to learn awareness techniques that can elevate your existing AML/BSA program into an AML/BSA/CTF program. This targeted workshop empowers you to: Step inside the mindset and modus operandi of a terrorist financier understand how the due diligence and investigations process is integral to the intelligence cycle Recognize fundraising typologies and the abuse of financial products Engage in the 360 view of financial intelligence to mitigate illicit fund movement

PoST-conference WorkShoPS WORkshOp C: understanding international sanctions Requirements to Mitigate Risk and prevent penalties
It is expected that financial institutions around the world understand and fulfill their obligations under the uS Department of Treasurys Office of Foreign Assets Control (OFAC) rulings and other issuances. However, a plethora of sanctions programs outside the united States also require extra-territorial complianceand many of these requirements pose potential compliance conflicts. This hands-on workshop provides up-to-date information on extra-territorial sanctions programs and offers detailed compliance recommendations to help prevent sanctions violations from harming your institutions reputation and bottom line. You will learn: How to stay abreast of OFAC, united nations, and other jurisdictional sanctions program Strategies for linking sanctions management with KYC and enhanced due diligence How to uncover the true relationship between a business counterpart and sanctioned countries Tips to identify and mitigate your exposure to indirect sanctions risk Best practices for monitoring, reporting and investigating sanctions-related issues

Wednesday, March 21 | 2:00 pM 5:00 pM WORkshOp d: effectively Managing Your aML quality assurance program
Regulator expectations around AML quality assurance programs are increasing to now require a fully developed AML audit program. Previously, regulators simply posed a level of sophistication and detail approaching that of a banks QA program, but compliance officers are finding they are now expected to offer a detailed analysis of their QA programs effectiveness, quality and timeliness. How can you prepare for this transition to ensure you have an appropriate system in place? How can you stay ahead of the regulatory curve? Attend this workshop to learn the essentials of a solid QA program. In this interactive workshop, you will: Assess gaps and establish key elements to consider within your QA program understand current regulations and guidelines to achieve an acceptable quality assurance review and stay ahead of the regulatory curve Learn to link your institutions QA program with the AML compliance process

Register Today! MoneyLaunderingConference.com +1 305.530.0500

CONFERENCE

ANTI-MONEY LAUNDERING
March 19-21, 2012 The Westin Diplomat Hollywood, Florida

17TH ANNUAL INTERNATIONAL

General SeSSIonS
Of critical importance to the entire AML community, these high-level presentations by industry luminaries address what lies ahead, provide insight into new laws and regulations, analyze lessons learned from the latest enforcement actions and demonstrate global best practices you can apply to your own AML program immediately upon your return to the office. These sessions also provide a foundation for the breakout sessions throughout the conference, outlining the key issues in preparation for deeper dives into their impact on your firms AML program.

Critical insight from Recent enforcement actions: What Lessons Can Financial institutions Learn? Monday, March 19 | 9:25 AM - 10:35 AM Analyze lessons learned from recent enforcement actions Determine the implications of US regulatory and law enforcement actions for your compliance policies and procedures review international enforcement trends and their impact on your organization preparing for the next Generation of Money Launderers: Mitigating Threats posed by m-payments and e-Money Monday, March 19 | 11:05 AM - 12:15 PM Understand the types of criminal activity facilitated by mobile communications Identify other innovative electronic payment products that could be used for money laundering Investigate emerging challenges in South Asia, Latin America and Africa and their impact on your compliance operations assessing the effectiveness of the Financial action Task Force (FaTF): are the 40+9 Recommendations Working? Tuesday, March 20 | 9:15 AM - 10:30 AM evaluate the FATFs accomplishments to date in creating a global AML standard Learn how the revised standards will address 40+9 deficiencies examine the concrete steps that member states must take to meet existing and proposed FATF guidelines
CASE STUDY

Global anti-Bribery initiatives: preparing for the impact of the Foreign Corrupt practices act (FCpa) and uk Bribery act Requirements Tuesday, March 20 | 11:00 AM - 12:15 PM Understand the effect of extraterritorial bribery and corruption legislation and regulation on your AML operations Address the challenges of identifying PePs and ascertaining your customers participation in corrupt activity Pinpoint vulnerabilities in your institutions program and identify your highest risk areas examine the efficacy of international initiatives such as the United nations Convention Against Corruption and the organisation for economic Co-operation and Development (oeCD) Anti-Bribery Convention designing an aML Framework for the new Global Financial Crime paradigm Wednesday, March 21 | 9:15 AM - 10:30 AM Gain insight into how the proposed FATF recommendations could shape your AML policies and procedures Determine how to deal with ever smarter financial criminals who can undermine your institution Understand how region-specific requirements can thwart your enterprise-wide CDD and eDD practices Learn global program standards and gain insight into how your institution can implement them The Way forward: challenges and opportunities in compliance in the Year ahead Wednesday, March 21 | 11:00 AM - 12:15 PM Visit MoneyLaunderingConference.com for updates on this session, which promises to be a dynamic discussion about the most critical issues affecting you over the next several months.

Author Book Signing: The Wizard of Lies

TueSdAy, 6:00 PM Stop by the book signing table in the foyer to get
your signed copy of The Wizard of Lies by diana B. Henriques

Visit MoneyLaunderingConference.com for program and speaker updates

conFerence ProGram
concUrrenT SeSSIonS GloBal aMl coMPlIance Navigating the intricacies of global AML regulations to maintain sound international operations is one of the biggest obstacles you encounter as a compliance executive. In this globally focused track, AML executives from financial institutions and senior staff from government agencies show you how to implement a compliance program for all business lines that meets the most stringent regulatory expectations and mitigates your exposure to risk across jurisdictions. The Foreign account Tax Compliance act (FaTCa) from an aML perspective: Tax, aML and kYC Come Together Monday, March 19 | 2:55 PM - 4:10 PM Understand the tax, financial and legal framework FATCA requires foreign financial institutions to implement across global business lines review FinCens final Foreign Bank and Financial Accounts (FBAr) 2011 regulations and learn how they impact off-shore signatories Identify critical changes that your CIP/KyC programs must make to comply with FATCA and US tax laws and regulations Remodeling Operational structure: a new approach to aML Monday, March 19 | 4:40 PM - 5:55 PM hear real-life experiences from financial institutions tasked with restructuring their AML compliance operations Learn how to design a three dimensional internal risk assessment Benchmark proven and adaptable strategies to garner buy-in and support from upper management abiding by Foreign privacy Laws when performing enhanced due diligence Tuesday, March 20 | 1:30 PM - 2:45 PM Identify the key obstacles to collecting and sharing information globally and the liability that results from violating privacy laws Understand international procedures for sharing financial data with other jurisdictions Learn best practices for completing due diligence, suspicious activity/transaction reporting, and information sharing
DEBATE
CASE STUDY

Obtaining Funding for Your aML program: how to sell aML and Compliance internally Tuesday, March 20 | 2:55 PM - 4:10 PM Articulate your programs needs and business practices to secure funding despite market volatility Show how increasing requirements such as Dodd-Frank impact your AML departments resources and budget Learn to create a marketing plan that illustrates the organization-wide benefits of a well-funded AML program Outsourcing and Off-shoring aML: identifying Best practices and Common pitfalls Tuesday, March 20 | 4:40 PM - 5:55 PM Analyze lessons learned from successful offshoring of KyC, sanctions and transaction monitoring programs Create a checklist of controls that must be in place to successfully manage third party vendor(s) ensure your offshore/outsource program meets global requirements regarding privacy and data sharing dodd-Franks Whistleblower provisions: do They protect the aML professional? Tuesday, March 20 | 4:40 PM - 5:55 PM Understand the liabilities and opportunities created by the whistleblower regulations examine the impact of 922 on reporting lapses in AML controls Address the increased protection Dodd-Frank offers to individuals who report crimes and suspicious activities

Register Today! MoneyLaunderingConference.com +1 305.530.0500

CONFERENCE

ANTI-MONEY LAUNDERING
March 19-21, 2012 The Westin Diplomat Hollywood, Florida

17TH ANNUAL INTERNATIONAL

EW EW N

concUrrenT SeSSIonS GloBal rISk anD oPPorTUnITIeS

With an ever-expanding list of international AML legislation and regulations, financial services organizations must remain prepared to confront new money laundering threats in the regions where they do business, especially in new markets. These sessions offer insight on the latest threats and offer strategies for partnering with law enforcement and techniques for improving your global compliance operations.

K C C A TR TR

Building a solid Compliance program to Mitigate Risk in Brazil, Russia, india, China and south africa (BRiCs) Monday, March 19 | 1:30 PM - 2:45 PM Analyze the effect BrICS countriescomprising over 42% of the worlds populationhave on global business and trade Balance international ethics, due diligence and compliance standards with local, cultural, bureaucratic and legal obligations Develop a solid training program and policies and procedures for doing business in BrICS countries Operation pacific Rim: The Take down of a Billion-dollar Colombian drug Trafficking Organization Monday, March 19 | 4:40 PM - 5:55 PM Gain insight into the takedown and convictions of a major drug trafficking organization by US Immigration and Customs enforcement, the Colombian national Police and Mexican authorities examine the types of legitimate businesses traffickers used and the role financial institutions played Understand your role in assisting similar investigations
CASE STUDY

Tackling the Global Threat of Trade-Based Money Laundering Tuesday, March 20 | 1:30 PM - 2:45 PM hear how recent cases have impacted regulators views of trade-based money laundering and how to prepare for and respond to the regulators Discuss the significance of the latest FATF list of countries with weak AML/CTF controls, and what you should do in response Understand the role of law enforcement and the expectations for financial institutions to detect trade-based money laundering Learn the latest red flags and why your trade finance unit should be on the front line in preventing trade-based money laundering in your institution Balancing Law enforcement partnerships with Regulator expectations Tuesday, March 20 | 2:55 PM - 4:10 PM Identify areas for improved communication among financial institutions, law enforcement and regulators Implement simple controls and policies that efficiently resolve law enforcement data requests Create a culture of cooperation that facilitates information exchange and open dialogue understanding the Financial institutions Role in preventing elder abuse Tuesday, March 20 | 4:40 PM - 5:55 PM Learn why financial institutions are in a prime position to detect suspicious activity for financial exploitation of elderly customers Analyze typologies, red flags and transactions to identify possible signs of illicit activity examine common narrative terms used in SArs/STrs that will better assist law enforcement in targeting suspected cases of elder abuse
DEBATE

Receive up to 28 CAMS credits!

Plus, qualify for additional continuing education credits including CPe, CLe and CRCM

Visit MoneyLaunderingConference.com for program and speaker updates

conFerence ProGram
EW EW N EW EW N
concUrrenT SeSSIonS aUDIT TechnIQUeS anD ToolS concUrrenT SeSSIonS TrenDS In TechnoloGY

With stringent US and international regulations, emerging crime trends and increased compliance expectations, internal audit is the key line of defense for financial institutions to mitigate risk and ensure robust compliance programs. This track focuses on the relationship between auditors and the AML compliance team, and on best practices for testing and maintaining sound operations. An improved understanding of the role of audit in successfully addressing AML challenges can avoid regulatory criticism or worse.

Connecting the dots with auditors and examiners: Overcoming Training Challenges to ensure effective Communication Monday, March 19 | 1:30 PM - 2:45 PM Learn from criminal cases what examiners expect from your program examine the effect of auditor training on internal reporting and examination oversight Improve opportunities for successful examinations through timely and consistent communication with auditors and regulators understanding the Role of audit and Management Testing in Your institution Monday, March 19 | 2:55 PM - 4:10 PM Discern the differences between AML audits, versus audits of related programs, versus independent testing Understand the regulatory expectations of each and the appropriate responses from your organization Learn proper audit and management testing techniques and how to report findings to regulators and senior management performing an iT audit: know the Challenges to Maintain sound Operations Monday, March 19 | 4:40 PM - 5:55 PM Address the proper methods for auditing AML technologies, including AML/oFAC software, case management systems and transaction monitoring programs review how to report audit findings and examples of recommended mitigation plans Avoid mishandling complex analyses and reporting to ensure sound operations are maintained

CASE STUDY

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Register Today! MoneyLaunderingConference.com +1 305.530.0500

K C C A TR T

The Internet is the crime scene of the 21st century and staying ahead of the technology curve is crucial. Institutions must, among other things, refine software systems to track and detect new methods of cyber crime. In these targeted sessions, IT professionals, practitioners and law enforcement present global trends in financial and organized crime and examine the technologies that can be used to defraud your institution. Hear practical cases that illustrate emerging typologies, areas of vulnerability and strategies to decrease your institutions risk.

new Trends in e-payment Methods: understanding the Virtual Customer Monday, March 19 | 1:30 PM - 2:45 PM Analyze financial crime trends and vulnerabilities in credit cards, Bitcoin and pre-paid cards, especially in developing countries Learn how to adapt your institutions systems to include controls to monitor e-payments and alternative money Mitigate the risk of abuse through mobile devices, the fastest growing method for transmitting money examine the impact of FinCens Final rule on Prepaid Access Combating Online payment Fraud: implementing Controls to protect your Customers and Comply with FFieC Guidelines Monday, March 19 | 4:40 PM - 5:55 PM Dissect an attack and get practical tools to prevent similar onesunderstand the technology and the typical account takeover process, and why commercial accounts are prime targets hear new developments on international trends, current cases, and what the FBI is doing to combat cyber crime examine crucial updates in the FFIeC guidelines to ensure your institution is compliant Merging Fraud and aML investigations: Connecting intelligence through Technology Tuesday, March 20 | 2:55 PM - 4:10 PM Identify technology that will facilitate the convergence of your anti-fraud and AML efforts explore the challenges of building a common platform for anti-fraud and AML and how it can reduce threats, risk and cost to your institution hear real-life accounts from institutions that have implemented systems that integrate anti-fraud resources with AML efforts

K C C A TR TR

CONFERENCE

ANTI-MONEY LAUNDERING
March 19-21, 2012 The Westin Diplomat Hollywood, Florida

17TH ANNUAL INTERNATIONAL

concUrrenT SeSSIonS laTIn aMerIca anD The carIBBean Primarily concerned with examining AML/CTF topics that are of specific interest to Latin American and Caribbean jurisdictions, these sessions also offer global perspectives on unique compliance, regulatory and off-shore financial services challenges. Taught by experts in regional compliance challenges, you will gain insight on emerging financial crimes, managing audits and examinations, and successfully complying with multiple regulations both inside and outside the region. implementing the Foreign account Tax Compliance act (FaTCa) and us Tax provisions in Your Compliance program Monday, March 19 | 1:30 PM - 2:45 PM hear how regional institutions are preparing to implement a reporting regime to comply with the new requirements Learn strategies to adapt your institutions CIP program and due diligence processes to meet FATCA requirements Anticipate the impact of pending reporting requirements from the US Internal revenue Service identifying the Correspondent Banking Risks of dollarized economies in the Caribbean Monday, March 19 | 2:55 PM - 4:10 PM evaluate the financial crime challenges faced by many Caribbean jurisdictions when transitioning their economies to the US dollar examine the impact of beneficial ownership and privacy laws on your AML program Adequately address international guidelines and increased scrutiny from correspondent banks
CASE STUDY

emerging Money Laundering Threats in south america: american deposit Receipts (adRs) and us securities Markets Tuesday, March 20 | 1:30 PM - 2:45 PM Understand how criminals use ADrs to move proceeds through the financial sector with minimal oversight Learn how non-US corporations use US brokerage firms to trade units instead of stocks as a tool to launder drug proceeds from the US in to South America Identify methods to improve your institutions due diligence and suspicious transaction identification Blocking illicit proceeds: understanding the effects of Mexicos new Money Laundering Legislation Tuesday, March 20 | 2:55 PM - 4:10 PM Assess the efficacy of restricting bulk cash transport across the US-Mexico border and in what form cash may now be repatriated in order to move illicit funds Determine how new reporting requirements impact financial institutions regulatory burden and the cost of doing business in Mexico Understand the potential tax implications and initiatives by the US Internal revenue Service The independent audit process in the Caribbean: strategies for Working with Regulatory authorities and Creating internal Oversight Tuesday, March 20 | 4:40 PM - 5:55 PM Adopt strategies to educate auditors that will ensure a smoother audit Learn to go beyond auditor checklists to accurately assess risk and demonstrate rigorous controls when an auditor perceives noncompliance Take away strategies for teaching auditors to more effectively communicate with examiners

Available in General & Breakout Sessions*

* Spanish translation is not available for the Working Groups, AML Education Sessions and AML Knowledge Breakfasts/Lunches

Visit MoneyLaunderingConference.com for program and speaker updates

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conFerence ProGram
concUrrenT SeSSIonS non-DePoSITorY InSTITUTIonS Compliance executives within securities firms, MSBs, insurance companies and other non-depository institutions face a unique set of AML compliance challenges. Created specifically to address your top priorities, these presentations focus on overcoming industry-specific AML challengesfrom the requirements of international regulations to navigating multiple regulatory expectations. Let AML veterans teach you the keys to setting up a risk-based AML program and prepare you for successful regulatory exams. understanding FinCens Requirements of Foreign MsBs and implications for us Financial institutions Dissect the new regulations and what they mean for foreign MSBs and money transmitters Identify which bank customers now qualify as foreign MSBs and are subject to the new rules explore enforcement efforts against hawalas, Colombian peso brokers and money brokers buying drug cash through the Black Market Peso exchange insurance Focus: OFaC sanctions Risk Management: prevention, Challenges and Outlook Monday, March 19 | 2:55 PM - 4:10 PM Understand US sanctions programs and how they apply to (re)insurance operations Detect and manage facilitation risks posed by foreign affiliates and third parties effectively handle oFAC enforcement inquiries, internal investigations, and voluntary disclosures review recent enforcement actions and key takeaways for lessons that can be applied to your institution securities Focus: Reverse Mergers, penny stock and Micro-Cap securities FraudWhat are the aML Risks and Regulatory expectations? Monday, March 19 | 4:40 PM - 5:55 PM Dissect regulatory expectations that relate to micro-cap stocks and other types of market manipulations schemes Understand your responsibilities regarding CDD as well as FInrAs additional focus on LLCs and beneficial ownership in the US Understand the role of micro-cap securities marketing firms, transfer agents and attorneys to facilitate scams
CASE STUDY

MsB intensive: developing effective suspicious activity Reports (saRs/sTRs) Tuesday, March 20 | 1:30 PM - 2:45 PM Identify the specific types of suspicious activities that necessitate a SAr/STr filing Understand regulator expectations and recommended language for use in the SAr/STr narrative Clarify information both frontline employees and management are required to report The 21st Century MsB: implementing new Regulations, analyzing Migration Trends and adopting new aML surveillance systems Tuesday, March 20 | 2:55 PM - 4:10 PM Understand how FinCen expanded the scope of your AML responsibilities and its impact on your surveillance system Use the World Banks analysis of new remittance corridors to target potential challenges with global surveillance Learn how to read your organizations data to anticipate regional changes and facilitate new agent networks to keep your business solvent Discover tactics to manage huge quantities of data in your surveillance software to prevent false positives securities Focus: addressing increased expectations of international Regulators Tuesday, March 20 | 4:40 PM - 5:55 PM review strategies to deal with competing international requirements to maintain a consistent enterprise-wide program examine the impact of the UK Financial Services Authoritys (FSA) findings on deficiencies in the securities industry, including weak eDD processes hear proven strategies for one-time on-boarding procedures that satisfy all jurisdictions

Monday, March 19 | 1:30 PM - 2:45 PM

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CONFERENCE

ANTI-MONEY LAUNDERING
March 19-21, 2012 The Westin Diplomat Hollywood, Florida

17TH ANNUAL INTERNATIONAL

concUrrenT SeSSIonS SecTor WorkInG GroUPS* At a time when you face increased responsibilities and your resources are limited, your peers can be invaluable allies in sharing best practices and creative solutions to challenges. Join these intimate working groups to share ideas and identify strategies to address the tough compliance issues you face each day. Scheduled alongside the main conference sessions, each sector will have the opportunity to participate in small-scale, closed-door discussions. You set the agenda and a seasoned practitioner guides the dialog dont miss this opportunity to tap into the real-life experience of your peers! MSB Working Group Multi-state examinations: Best practices to Manage and Meet Regulators expectations Monday, March 19 | 1:30 PM - 2:45 PM Small Institutions Working Group Tailoring Your Transaction Monitoring system to Meet Your institutions needs Monday, March 19 | 2:55 PM - 4:10 PM Small Institutions Working Group Overcoming the Challenges of edd: Completing a Risk assessment of your Cip program Tuesday, March 20 | 1:30 PM - 2:45 PM Securities Working Group Beneficial Ownership assessment and Management Tuesday, March 20 | 2:55 PM - 4:10 PM Insurance Working Group aML Training strategies for insurance agents and producers Tuesday, March 20 | 4:40 PM - 5:55 PM *Spanish translation not available

D ED D N PA EX E

concUrrenT SeSSIonS aMl eDUcaTIon SeSSIonS*

Join these intimate and interactive sessions to connect with your peers and get the latest intelligence on how to strengthen your current AML/CTF program against financial crime.

Counter-Terrorist Financing: new intelligence Methods to detect, deter, and disrupt Terrorist Financial Operations Courtesy of Booz Allen Hamilton Monday, March 19 | 2:55 PM - 4:10 PM Step inside the mindset and modus operandi of a terrorist financier Understand how the due diligence and investigations process is integral to the intelligence cycle recognize terrorist fundraising typologies and abuse of financial products engage in the 360 view of financial intelligence to mitigate illicit fund movement in addition we are planning aML sessions courtesy of: Dow Jones Risk & Compliance Monday, March 19 | 4:40 PM - 5:55 PM Detica NetReveal Tuesday, March 20 | 1:30 PM - 2:45 PM Please visit MoneyLaunderingConference.com for topic updates.

Visit MoneyLaunderingConference.com for program and speaker updates

G G N IN IIN A A TR

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SPeaker FaculTy

MOneYLaundeRinG.COM and COMpLianCeadVanTaGe.COM Kieran Beer Editor-in-Chief

e*TRade FinanCiaL John Davidson Global Head of Anti-Money Laundering

Bank OF aMeRiCa Lisa M. Grigg, CAMS Managing Director Senior AML Risk Executive and Bank Secrecy Act Officer sTandaRd ChaRTeRed Bank Peter Richard Hazelwood Global Head, Financial Crime Risk Operations, Group Financial Crime Risk Bank OF aMeRiCa MeRRiLL LYnCh Guillermo Horta Montes Managing Director/Latin America, Global AML and Economic Sanctions sCOTiaBank Ron P King, CAMS . Vice President and Chief Anti-Money Laundering Officer

eRnsT & YOunG LLp Steven Beattie, CAMS Anti-Money Laundering Services Leader

Banque inVik sa Henrique Dominguez Legal and Compliance Manager

MOneYGRaM inTeRnaTiOnaL Shannon Bennett, CRCM, CAMS Senior Director - AML Compliance Operations and Technology

kpMG FORensiC Darren Donovan Principal

ROYaL CaRiBBean CRuises LTd. Karen A. Benson, Esq., CAMS Director of Global Compliance and Ethics

pRudenTiaL FinanCiaL noreen M. Fierro Vice President, AML/FCPA Compliance Officer

assOCiaTiOn OF CeRTiFied anTi-MOneY LaundeRinG speCiaLisTs (aCaMs) John J. Byrne, CAMS Executive Vice President aLLY FinanCiaL Jim Candelmo, CAMS Executive Compliance Director and BSA/AML Officer

CiTi Marcy Forman Managing Director, Global Investigations unit, AML Compliance WaLMaRT sTORes Veronika Foster, J.D., CAMS Director Regulatory Controls, Financial Services Compliance

WeLLs FaRGO Tom Lickiss, CAMS Senior Vice President and Director, Financial Intelligence unit

CiTiGROup Steve Lindsay Director, Audit and Risk Review

BaRCLaYs WeaLTh David Clark, CAMS Head of Intelligence and Analysis, Financial Crime

hOMeLand seCuRiTY inVesTiGaTiOns Joseph Gallion Chief of Staff

neW YORk COunTY disTRiCT aTTORneYs OFFiCe Elizabeth Loewy Manhattan Assistant District Attorney

hOMeLand seCuRiTY inVesTiGaTiOns Hector X. Colon unit Chief, Illicit Finance and Proceeds of Crime unit, Financial, narcotics and Special Operations Division BROWn BROTheRs haRRiMan Hal Crawford, CAMS Senior Vice President, Global Head of AML & Sanctions

eRnsT & YOunG LLp Renato (Ron) Giammarco Partner, Financial Services

BOOz aLLen haMiLTOn Tracy MacDonald Lead Associate

FedeRaL BuReau OF inVesTiGaTiOn Stacey n. Gomer Cyber Intelligence Analyst Domestic Threats Cyber Intelligence unit

iRs CRiMinaL inVesTiGaTiOn Manny Muriel Attach for South America

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kpMG Teresa A. Pesce Principal

MiLLenniuM BCp Bank & TRusT nancy J. Saur, CAMS, FICA Compliance Manager

BOOz aLLen haMiLTOn Brian Stoeckert, CAMS Associate, Financial Crimes

haYnes and BOOne LLp F. John Podvin, Jr. Of Counsel

zuRiCh insuRanCe COMpanY Markus E. Schulz Chief Compliance Officer, Global Life & Banking

sVB FinanCiaL GROup William Voorhees, CAMS, C.F.E. Director, Financial Intelligence unit

us depaRTMenT OF The TReasuRY Chip Poncy Director, Office of Strategic Policy for Terrorist Financing and Financial Crimes RBC FinanCiaL GROup Karim Rajwani, CAMS Vice President and Chief Anti-Money Laundering Officer

siLiCOn VaLLeY Bank Chris Silveira Fraud Case Manager, Banking Operations

Td Bank Daniel Wager, CAMS Senior Vice President, Head of Global EDD

aMeRiCan expRess Richard A. Small, CAMS Vice President Enterprise-Wide Anti- Money Laundering and Sanctions Risk Management aMeRiCan expRess Jack Sonnenschein Vice President of Enterprise Compliance Risk Management

hsBC nORTh aMeRiCa Ian Wright Senior Vice President, Anti-Money Laundering, FIu, Special Investigations

FinRa Michael G. Rufino Senior Vice President and Deputy of Member Regulation

paCiFiC inVesTMenT ManaGeMenT COMpanY (piMCO) Meg R. Zucker Global AML Officer

2012 ADVISORY BOARD

The Program Advisory Board for the 17th Annual International AML Conference is a prestigious group of senior-level AML/CTF leaders. Advisory Board members help craft the conference agenda by nominating topics and speakers of high relevance, and offering their own expertise in designing a world-class program featuring the most important issues of the moment.
KIERAn BEER, Advisory Board Chair Editor-in-Chief MoneyLaundering.com and Complianceadvantage.com SHAnnOn BEnnETT, CRCM, CAMS Senior Director, AML Compliance Operations and Technology MoneyGram international KAREn A. BEnSOn, ESQ., CAMS Director of Global Compliance and Ethics Royal Caribbean Cruises Ltd. JOHn J. BYRnE, CAMS Executive Vice President association of Certified antiMoney Laundering specialists (aCaMs) HAL CRAWFORD, CAMS Senior Vice President, Global Head of AML and Sanctions Brown Brothers harriman JOHn DAVIDSOn Global Head of Anti-Money Laundering e*TRade Financial HEnRIQuE DOMInGuEZ Legal and Compliance Manager Banque invik s.a. MARCY FORMAn Managing Director, Global Investigations unit, AML Compliance CiTi JOSEPH GALLIOn Chief of Staff homeland security investigations u.s. immigration and Customs enforcement (iCe) GuILLERMO HORTA MOnTES Managing Director, Latin America Global AML and Economic Sanctions Bank of america Merrill Lynch ROn P KInG, CAMS . Vice President and Chief Anti-Money Laundering Officer scotiabank TOM LICKISS, CAMS Senior Vice President, Head of GFI Business Risk Wells Fargo Bank, na nInA nICHOLS Senior Vice President, Director of Global AntiMoney Laundering JpMorgan Chase Bank, na F. JOHn PODVIn, JR. Of Counsel haynes and Boone LLp KARIM RAJWAnI, CAMS Vice President and Chief Anti-Money Laundering Officer RBC Financial Group nAnCY J. SAuR, CAMS, FICA Compliance Manager Millennium bcp Bank & Trust RICHARD A. SMALL, CAMS Vice President, Enterprise-Wide Anti-Money Laundering and Sanctions Risk Management american express JACK SOnnEnSCHEIn Vice President, Enterprise Compliance Risk Management american express DAnIEL WAGER, CAMS Senior Vice President, Head of Global EDD Td Bank MEG R. ZuCKER Global AML Officer pacific investment Management Company (piMCO)

Visit MoneyLaunderingConference.com for program and speaker updates

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SAVE $300 with code WEB-300. See details below.

17TH ANNUAL INTERNATIONAL

CONFERENCE
March 19-21, 2012

ANTI-MONEY LAUNDERING
Co-Organized by
The Westin Diplomat Hollywood, Florida

MoneyLaunderingConference.com

customerservice@moneylaundering.com
SAVE $200 Register and pay by January 20, 2012 $1,795 $1,995 $2,095 SAVE $100 Register and pay by February 17, 2012 $1,895 $2,095 $2,195

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PrIcInG & PackaGeS

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SPecIal DIScoUnTS*
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Government, MSB, Small Institution Pricing $1,595 $1,695 $1,795

To ensure your organization makes the most of concurrent sessions and valuable networking opportunities, MoneyLaundering.com is pleased to offer discounts for groups of 3 or more. please contact Geoffrey Fone at +1 786.871.3021 or gfone@moneylaundering.com for details.

*Special discounts are limited to individuals employed by government agencies, regulatory authorities, licensed money services businesses and/or financial institutions with less than $1B in assets. Subject to approval by MoneyLaundering.com management. Discounts cannot be combined. Cancellation/substitution policy: For details, visit MoneyLaunderingConference.com/2012/general-information.asp

conference VenUe

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3555 South Ocean Drive Hollywood, FL 33019 Main phone: +1 954.602.6000 Fax: +1 954.602.7000 Web: www.diplomatresort.com

Hotel Accommodations
A block of rooms at The Westin Diplomat has been reserved at a specially discounted group rate for this conference. The last day to reserve rooms at the group rate is February 10, 2012, or until the room block is sold out. Reservation information can be found online at MoneyLaunderingConference.com/ 2012/accommodations.asp. Hotel discount code: MLC2012

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