5f. IA/PF - Anti-Money Laundering: Understanding Financial Crimes (Intermediate - OPEN)

Tuesday
Written By Meghan Flanagan

Understanding the landscape for financial crimes and what is on the horizon is paramount to creating an effective AML program.  Participants will become acquainted with the various aspects of Financial Crimes and how they overlap with AML detection and reporting requirements. Panelists will discuss key considerations in creating and managing a risk-based program that is effective in uncovering potential issues. This session will also explore the ever-changing regulatory landscape, including proposed rules requiring investment advisers to adopt similar programs required by other financial institutions.

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

Learning Objectives:

  • Become acquainted with how financial crimes evolve as bad actors become more brazen and sophisticated.

  • Explore and improve red flag detection skills.

  • Learn to identify patterns of financial crimes and how or when to report them.

  • Review the regulatory environment, including FinCEN’s proposed expansion of the BSA rule to include investment advisers.

Featured
Bao Nguyen
Bao Nguyen

Principal

Kaufman Rossin

Elizabeth Scalf
Elizabeth Scalf

SVP, Chief Compliance Officer & AML Officer

U.S. Bank Global Fund Services

Meghan Flanagan
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5g. IC – Investment Company Regulation: Current Issues (Intermediate - OPEN)