Anti Money Laundering in the
Securities and Investment Industries
April 24, 2006
Holiday Inn Government Center, Boston
(Map)
Preliminary Agenda
08:00 Registration/Breakfast with Exhibitors
09:00 Chairperson's Opening Remarks
Jeff Lavine,
Partner
PriceWaterhouseCoopers LLC
09:15 Opening Roundtable
Where have we
made progress, where are there still
weaknesses?
Moderator:
Darren Donovan,
Principal,
Forensic Investigation & Integrity
Advisory Services
KPMG
Panelists:
Philip W. Varela,
Sr. Vice President, AML Compliance Officer
Banc of America Securities
John Keane,
Services Director, North America
Norkom Technologies Inc.
Seth D. Krauss,
Executive Director, Law Division
Morgan Stanley
Saskia Rietbroek,
CAMS,
Financial Crime Advisor
NetEconomy
Former Executive Director, Association of Certified Anti-Money
Laundering Specialists
09:45 Regulation
and good business practice: When are they
in parallel,
When are they at Odds?
Moderator:
Douglas N. Greenburg,
Partner
Latham & Watkins
Panelists:
Robert S. Tull,
Senior Consultant
SEC Compliance Consultants
Grant Ward,
Director & Counsel
NASD
Raja Chatterjee,
Vice President & Counsel, Law Division
Morgan Stanley
David Culbertson,
Vice President
Cicada
10:30 Refreshment Break
with Exhibitors
11:00 Regulatory Panel
Update on Current and Pending
AML Regulations
Moderator:
Satish Kini, Partner
Goodwin Procter
Panelists:
Oscar Herasme, President & General counsel
External Compliance Officer, Inc.
Michael D. Ricciuti,
Partner
Kirkpatrick & Lockhart Nicholson Graham LLP
11:30
Technology Forum
How is the
Financial Services Industry Meeting the
Increased
Demands for Data and Regulatory Processing?
Moderator:
Mark Moorman,
Senior Vice President, Financial Services Practice
SAS
Panelists:
Kathryn Weatherby,
Examination Specialist IT,
Division of Supervision
and Consumer Protection
FDIC
John
Walsh,
Director of Data Initiatives
Wachovia
Alison
Morpurgo-Cotter,
Legal Counsel, Chief Anti-Money
Laundering Officer
UBS International, Inc.
Andrew Davies,
General Manager
NetEconomy
12:15
Forensic
Data Analysis: Using Advanced Analytics in
AML
Compliance and Enforcement Matters
Lucy Clark Dougherty,
Managing Director
Duff & Phelps
Michael Dougherty,
Managing Director
Duff & Phelps
Liam Ferguson,
Director
Duff & Phelps
01:00 Luncheon with
Exhibitors
02:00 How
Guidance from International Committees Shapes
AML Programs
and Compliance
Moderator:
Robert Axelrod,
Director
Deloitte Financial Advisory Services LLP
Panelists:
Dennis Lormel,
Sr. Vice President, Anti-Money Laundering and
Terrorist Financing
Corporate Risk International
Taurii Nishiyama,
Director of Government Affairs
WorldCompliance
Kenneth L. Bryant,
Managing Partner
Bryant & Associates
02:45 Best
Practices in AML and Anti Terrorist Financing
Procedures
Moderator:
Taurii Nishiyama,
Director of Government Affairs
WorldCompliance
Panelists:
Dennis Lormel,
Sr. Vice President, Anti-Money Laundering and
Terrorist Financing
Corporate Risk International
Jim Wills,
AML Business Line Manager
Searchspace
Douglas N. Greenburg,
Partner
Latham & Watkins
03:30 Refreshment Break with Exhibitors
03:45
Offshore
Havens: What
to Look Out For
Robert Cushing,
Director - US AML Compliance
ABN AMRO Bank Incorporated
Kenneth L. Bryant,
Managing Partner
Bryant & Associates
04:30 Conference Adjourns
