AML Half-Day Seminar - New York - Agenda

New York, NY
November 13, 2017

Agenda

8:30 a.m. – 9:00 a.m.

Registration

  • Continental Breakfast

9:00 a.m. – 9:10 a.m.

Introduction

  • Welcome Remarks

9:10 a.m. – 10:15 a.m.

Session 1 – Money Laundering Background and Basics

  • What is money laundering?
  • Relevant rules and guidance

10:15 a.m. – 10:30 a.m.

Break


10:30 a.m. – 11:30 p.m.

Session 2 – Money Laundering Risks and Typologies


11:30 a.m. – 12:15 p.m.

Session 3 – Best Practices for Broker-Dealers

  • Conducting a risk assessment
  • Managing data and information

12:15 p.m. – 1:00 p.m.

Networking Lunch


1:00 p.m. – 2:00 p.m.

Session 4 – Case Studies

  • Apply concepts to selected case studies

2:00 p.m.

Adjourn