Anti Money Laundering in the
Securities and Investment Industries
October 20, 2005
Bayards, New York City
(Map)
Preliminary Agenda
08:00 Registration/Breakfast
09:00 Chairperson's Opening Remarks
John Campbell, Partner
PricewaterhouseCoopers LLP
09:15 Opening Roundtable
Where have we
made progress, where are there still
weaknesses?
Moderator
Ellen S. Zimiles,
Principal, Forensic Services, National Financial
Services Industry Leader
KPMG LLP
Panelists
Philip W. Varela,
Sr. Vice President, AML Compliance Officer
Banc of America Securities
Meg Zucker,
Executive Director, AML Group
Morgan Stanley
James Bodovitz,
Senior Vice President & Chief Compliance Officer
Park Avenue Securities
Patrick Gagnon,
Director
Mantas, Inc.
09:45 Regulation
and good business practice: When are they
in parallel,
When are they at Odds?
Maryanne Ryan,
Vice President & AML Officer
Prudential Equity Group, LLC
Sung-Hee Suh,
Partner, Litigation Department
Schulte Roth & Zabel LLP
Alma Angotti,
Counsel, Department of Enforcement
NASD
10:30 Refreshment Break
11:00 Regulatory Panel
Update on Current and Pending
AML Regulations
Moderator
John Walsh,
Senior Vice President, AML Technology Service
Delivery Executive
Bank of America
Panelists
Michael Rufino,
Vice President, Member-Firm Regulation
New York Stock Exchange
David Blass, Branch Chief, Division of Market Regulation &
Anti-Money Laundering
Securities & Exchange Commission
Oscar Herasme,
President & General Counsel, External Compliance
Officer, Inc.
CAMS President
11:30
Technology Forum
How is the
Financial Services Industry Meeting the
Increased
Demands for Data and Regulatory Processing?
Moderator
Marie Kerr,
Principal Consultant
Shamrock Consulting Group
Panelists
Alison Morpurgo-Cotter,
Legal Counsel, Chief Anti-Money
Laundering Officer
UBS International, Inc.
Mark Moorman,
SVP, Financial Services Practice
SAS
Kathryn Weatherby,
Examination Specialist IT
Division of Supervision and Consumer Protection
FDIC
John Walsh,
Senior Vice President, AML Technology Service
Delivery Executive
Bank of America
12:15 Luncheon
01:15 Achieving
Global Compliance: The
Role of International
Bodies in AML
Moderator
Robert M. Axelrod,
Director
Deloitte Financial Advisory Services
Panelists
Alan Williamson,
Director of AML Compliance
Merrill Lynch
Christopher W.
Cuzzucoli, Esq.,
Co-Director, AML Compliance
Citigroup Corporate and Investment Banking
02:00 Best
Practices in AML and Anti Terrorist Financing
Procedures
Moderator
Dirk Mohrmann,
Chairman
Worldcompliance
Panelists
Dennis Lormel,
Senior VP, Anti-Money Laundering and Terrorist Financing
Corporate Risk international
Juan Llanos,
Vice President & Chief Compliance
Officer
Remesas Quisqueyana
Jim Wills,
AML Business Line Manager
Searchspace
02:45 Refreshment Break
03:15 Offshore
Havens: Who is Really Looking Out for them
and What are
Your Responsibilities?
Kenneth L. Bryant, AML/CFT Consultant
Bryant & Associates
Robert Cushing, Vice President, Director -- US AML Compliance
ABN AMRO Bank Incorporated
04:00
Compliance Versus Privacy: Where Can your Firm Draw
the Line?
Moderator
Howard Steiner,
Senior Partner
ImpactAML, LLC
Panelists
Thomas Regan,
Executive Director, Privacy and Regulatory Affairs
LexisNexis
James McGinnis, Managing Director,
IB NA AML Officer
JPMorgan Chase & Co.
Lorenzo Masi, Account Manager
Prime Associates
04:45 Conference Adjourns
