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Home»Events»AMLAC WEST Event Overview»Agenda Day Two

AMLAC WEST

Agenda Day Two

Wednesday, February 28, 2007

7:45	Registration & Morning Coffee
8:00	Opening Remarks from Conference Co-Chairs Ellen Zimiles, CEO & Co-Founder, DAYLIGHT FORENSIC & ADVISORY Steve Zabuska, VP & AML Compliance Officer, LPL FINANCIAL SERVICES
8:30	Day Two Keynote Address: Thomas D. Fleming, Assistant Director, Office of Regulatory Policy, Regulatory Policy and Programs Division, FINANCIAL CRIMES ENFORCEMENT NETWORK
9:15	Best Practices for Knowing When to File Suspicious Activity Reports Moderator: Steve Zabuska, VP & AML Compliance Officer, LPL FINANCIAL SERVICES Panelists: Barbara (BJ) Sullivan, Supervisory Special Agent, FEDERAL BUREAU OF INVESTIGATION Charlie George, Sr. AML Compliance Manager, CAPITALONE Thomas D. Fleming, Assistant Director, Office of Regulatory Policy, Regulatory Policy and Programs Division, FINANCIAL CRIMES ENFORCEMENT NETWORK John MacKessy; Director, Forensic and Litigation Consulting Practice, FTI CONSULTING
10:45	Morning Break
11:15	CASE STUDIES: Discussing Investigations and Criminal Prosecutions With Law Enforcement Officers Don Temple, VP, AML Investigations, COMMERCE BANK Stephen J. Helmstetter, Special Agent, IRS CI Mike Montanez, Special Agent, IRS CI
12:30	Luncheon for Delegates and Speakers
1:45	Overcoming the Challenges of Complying with Section 312 of the US Patriot Act for Private Banking Operations Don Temple, Director, KMPG Steve Byron, Senior Vice President – BSA/OFAC Officer & BSA Unit Manager (CAMS), CITY NATIONAL BANK Beverly Loew, Regulatory Policy Project Officer, FINCEN
2:45	Afternoon Networking and Refreshment Break
3:15	Strategies for Developing Effective Transaction Monitoring and Reporting Systems Moderator: Steve Zabuska, VP & AML Compliance Officer, LPL FINANCIAL SERVICES Salvatore LaScala, Executive Director, DAYLIGHT FORENSIC & ADVISORY Mike Kovalchuk, Director of Client Reference Data, Corporate & Investment Banking, WACHOVIA SECURITIES
4:15	Managing Section 312 and OFAC Compliance Issues for Broker/Dealers, Hedge Funds, Clearing Firms, Mutual Funds, and Other Institutional Businesses Elizabeth Paige Baumann, VP, Deputy Anti-Money Laundering Officer, FIDELITY INVESTMENTS William E. Grayson, President, EGM CAPITAL Jeff Horowitz, Managing Director, Global Head of AML and OFAC Compliance, PERSHING LLC Beverly Loew, Regulatory Policy Project Officer, FINCEN
5:15	Conclusion of Main Conference