Half-Day Compliance Boot Camp Agenda - San Diego, CA - October 5, 2017

San Diego, CA
October 5, 2017

8:30 a.m. – 9:00 a.m.

Registration


9:00 a.m. – 9:15 a.m.

Introduction

  • Welcome Remarks

9:15 a.m. – 10:45 a.m.

Session 1 – Anti-Money Laundering: Customer Identification Program

  • Discuss an AML program’s requirement to have a Customer Identification Program
  • Discuss what comprises a CIP, including topics such as the goals of a CIP, identifying a customer’s identity, verifying a customer’s identity, how to handle unusual circumstances surrounding verification of a customer’s identity, recordkeeping, notice, and more
  • Discuss the new Customer Due Diligence rule

10:45 a.m. – 11:00 a.m.

Break


11:00 a.m. – 12:30 p.m.

Session 2 – Cybersecurity

  • Discuss effective practices to protect against cybersecurity threats
  • Outline resources available to help firms determine if their policies and procedures are adequate
  • Discuss case studies

12:30 p.m. – 1:00 p.m.

Networking Lunch


1:00 p.m.

Adjourn