10b. BD/IA - Identity Theft: Where Reg S-ID meets AML (Intermediate - OPEN)

Given the amount of information that is requested and stored by registered investment advisers and broker-dealers, it is imperative that firms understand their obligations to protect that data. This session will not only describe the components of AML, but further explore Reg S-ID and how the two interact. Uncover the requirements of Reg S-ID and how to develop your compliance program to ensure compliance with the regulations.

This session is open to regulators but closed to members of the press.

Learning Objectives:

Define and discuss the differences between Reg S-ID and AML.
Explore the requirements of the rule, including your duties regarding the detection, prevention, and mitigation of identity theft.
Discuss ways to incorporate Red Flags into your AML program and how to train employees to spot issues.
Review recent guidance including the SEC Risk Alert, legal opinions, and enforcement actions.

Featured

Robin Freeman

Chief Compliance Officer

LaSalle Investment Management

Harsh Pandya

VP of Product

Saifr

Susan Schroeder

Partner

WilmerHale

10b. BD/IA - Identity Theft: Where Reg S-ID meets AML (Intermediate - OPEN)

Sponsored by:

10a. ALL – Examining Ethics: Enforcement Actions and Lessons Learned (Advanced - OPEN)

8i. PF - Private Fund Manager Talk Group (CLOSED)