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.
9:00 a.m. – 9:15 a.m.
- 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.
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.