2010 ABA/ABA Money Laundering Enforcement Conference
The only BSA/AML event to exclusively address financial institution concerns.
The ABA/ABA Money Laundering Enforcement Conference is the signature annual event for BSA/AML and fraud risk professionals, with a 22-year proven track record in assembling the top experts in the field. This in-depth conference delves beyond the fundamentals, providing practical case studies and benchmarking best practices that optimize your compliance with BSA, AML, and USA PATRIOT Act regulations.

It's your opportunity to engage with banking, legal, law enforcement and regulatory experts in open and focused sessions and hear in-depth analyses and best practices on how to detect and prevent money laundering and terrorist financing. Designed with bank compliance in mind, the conference is co-sponsored by the American Bankers Association and the American Bar Association, and brings you the nation’s foremost experts in AML, terrorist financing, and other financial crimes.

* Please Note: Sessions will be made available subject to speaker release; sessions and speakers are subject to change.  CD-ROM & Online Streaming programs may require the download of a complimentary copy of Microsoft Silverlight.
Program Information
Program Date:
October 17, 2010
Program Location:
Marriott Wardman Park Hotel
Washington, DC
Sanctions Programs
Stricter and broader restrictions and stepped up enforcement activity have raised the bar on OFAC compliance. This panel will explore some of the continuing challenges to developing and maintaining an effective OFAC compliance program.

Topics to be discussed include:
  • What happens when you and your regulators have a different view of risk;
  • Getting the screening right: fuzzy logic, concatenation, word splitting and other challenges;
  • Identifying and addressing facilitation risk;
  • MT202s and stripping risk;
  • Managing trade finance risks;
  • ACH and IACH screening obligations;
  • NPWMD Vessels – name changes and how do you keep up with them?
  • Internal Watch Lists.
Speaker Information
Susan J. Galli   [ view bio ]
Joseph Hill Jr.   [ view bio ]
William D. Langford Jr.   [ view bio ]
Sara L. Satten   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
How Well Must You Know Your Customers?
There are times when financial institutions are expected to conduct enhanced due diligence on their customers, a point stressed by the interagency guidance on beneficial ownership issued last March. When and how do you conduct that extra dive into your customers and their activities?

This session will look at current issues with enhanced due diligence, including:
  • Beneficial ownership - what's expected now and what's on-deck (here and abroad)
  • PEPs - foreign and domestic - how do you identify a PEP and how long is a PEP a PEP - and once you've found one, what do you do
  • Non-resident aliens - what special steps should you take when you discover a potential customer is not a resident
  • Non-government organizations - especially with an enhanced focus on charitable organizations, what more do you need to do
  • Reliance - when can you accept the identification and verification of another institution
Speaker Information
Peter J. Neilson   [ view bio ]
Linda Noonan   [ view bio ]
Robert G. Rowe III   [ view bio ]
Brian J. Wimpling   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
AML Technology - Is Your Use of Technology Effective and Efficient (For Large/Complex Banks)
Over the years, banks have come to rely more and more on technology to support AML monitoring and as new and improved technologies have become available, some banks have decided on their own to "upgrade" while others have found themselves on the receiving end of regulators’ suggestions to do so. But, is more always better?

Panelists will offer their views on:
  • Why size alone is not the determinant of what you need;
  • Determining what AML technology capabilities you need and making the most of what your technology offers;
  • Understanding your transaction data – where it comes from and how to get at it;
  • The importance of understanding how your technology works;
  • Techniques for demonstrating the efficiency and effectiveness of your use of technology;
  • Considerations for conducting a cost-benefit analysis if you are contemplating an upgrade.
Speaker Information
Carol M. Beaumier   [ view bio ]
James E. Currie Jr.   [ view bio ]
Robert Curry   [ view bio ]
James R. Richards   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
AML Technology - Is Your Use of Technology Effective and Efficient? (For Small/Non-Complex Banks)
Over the years, banks have come to rely more and more on technology to support AML monitoring and as new and improved technologies have become available, some banks have decided to invest in or "upgrade" existing technology while others have found themselves on the receiving end of regulators' suggestions to do so. But, is more always better?

Panelists will offer their views on:
  • Whether you really need specialized AML monitoring technology;
  • Why size alone is not the determinant of what you need
  • Determining what monitoring capabilities you need and making the most of what you have;
  • Understanding your transaction data - where it comes from and how to get at it;
  • The importance of being able to explain your monitoring routines and/or technology;
  • Techniques for demonstrating the efficiency and effectiveness of your monitoring;
  • Considerations for conducting a cost-benefit analysis if you are contemplating acquiring or implementing specialized technology.
Speaker Information
Elliot H. Berman   [ view bio ]
Elizabeth M. Snyder   [ view bio ]
Christopher T. Spellman   [ view bio ]
John R. Topczewski   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
Legal Risks in Fraud and AML
A panel of expert attorneys will detail the variety of legal risks that bankers can encounter in today's environment.

Expect discussions to focus on:
  • Secondary Liability
  • Aiders and Abettors
  • Compliance Officers - willfully blind?
  • Financial Whistleblowers - the spies within
Speaker Information
Fredric D. (Rick) Firestone   [ view bio ]
Carmina Hughes   [ view bio ]
Wilmer Parker (Buddy)   [ view bio ]
Jason R. Pickholz   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
New Iranian Sanctions Law
This section will focus on the new law imposing additional sanctions against Iran, the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010, and its impact on financial institutions, notably in the area of correspondent banking.
Speaker Information
Alexandre B. Manfull   [ view bio ]
Serena D. Moe   [ view bio ]
Robert Rave
Clayton Stevenson (Clay)   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
Managing Exams: AML Exams from A to Z
This session will cover the details of successful AML examination management, including the preparation for exams, responding to examiner requests, handling issues that arise during the exam, wrap up and corrective action. Our panel will include experts from large and small institutions.
Speaker Information
John J. Byrne   [ view bio ]
Michael D. Kelsey   [ view bio ]
Robert W. Kidd IV   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
The Convergence of Fraud and AML - For Large Banks
Regulatory expectations for the integration and coordination of fraud detection and prevention and anti-money laundering programs are on the rise and now are the time to explore how these expectations impact you and your program. This session will explore the expectations and the implications for the future of your program by contrasting the strategies of how large banks are or are not integrating these functions.
Speaker Information
Peter J. Neilson   [ view bio ]
James R. Richards   [ view bio ]
Michael D. Shepard   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
The Convergence of Fraud and AML - For Small Banks
Regulatory expectations for the integration and coordination of fraud detection and prevention and anti-money laundering programs are on the rise and now is the time to explore how these expectations impact you and your program. This session will explore the expectations and the implications for the future of your program by contrasting the strategies of how small banks are or are not integrating these functions.
Speaker Information
Ryan Rasske   [ view bio ]
Joseph Salerno   [ view bio ]
Ann Marie Tarantino CRCM, CRP, AMLP   [ view bio ]
Brian J. Wimpling   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
International AML Legal Issues
This session will focus on the latest international AML issues including:
  • New Money Laundering for Financial Institutions: Tax.
  • The Recent History of Offshore Tax Shelters and Voluntary Disclosure.
  • Tax Whistle-blowing US and elsewhere.
  • Shah v. HSBC –UK civil liability for professionals?
  • Latest Developments in International AML Standards and Combating Financing of Terrorism.
  • Secondary Markets in Latin America.
  • Mexican Bulk Cash.
Speaker Information
Ross Delston   [ view bio ]
Rod Fletcher   [ view bio ]
Wilmer Parker (Buddy)   [ view bio ]
Clemente Vasques-Bello   [ view bio ]
Bruce Zagaris   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
General Session: Critical Issues in Suspicious Activity Reporting
Speaker Information
Derek Benner
Michael Deluca   [ view bio ]
Douglas A. Leff   [ view bio ]
Richard A. Small   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
General Session: Opening Announcements and Key Note Address
Speaker Information
James H. Freis Jr.   [ view bio ]
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Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
General Session: Trends in Criminal and Regulatory Enforcement Actions
During the last year, there have been significant AML and OFAC enforcement actions that have resulted in large criminal and civil penalties, including against Wachovia Bank (drug money laundering and telemarketing fraud) and ABN Amro Bank (OFAC violations). There also have been an increasing number of money laundering cases involving ponzi schemes, fraud, and other criminal activity. This panel will discuss these cases, what to be on the lookout for, and how to avoid getting entangled in a money laundering investigation.
Speaker Information
Robb Adkins   [ view bio ]
Andre Birotte   [ view bio ]
Fredric D. (Rick) Firestone   [ view bio ]
Gordon Greenberg   [ view bio ]
Aaron Wolfson
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
Lessons to Learn from Recent Regulatory Enforcement Actions and Criminal Prosecutions
This session will explore recent high profile AML enforcement actions and criminal prosecutions and tie the investigations into a financial institution's ability to detect, prevent and report similar activity.

Panelists will discuss the red flags, the breakdowns in internal controls, and the controls and systems that you might utilize to identify and prevent narcotics trafficking, mortgage fraud, Ponzi schemes and other specified unlawful activities that are predicates to money laundering at your institution.
Speaker Information
Lester M. Joseph   [ view bio ]
Marsha A. McClellan   [ view bio ]
Jacqueline D. Molnar   [ view bio ]
Amy G. Rudnick   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
Can't We All Just Get Along? Creating an Effective Partnership with MSBs and Bankers
In this session our panel will provide perspective on the relationship needed to provide banking services to Money Service Businesses. Best practices, lessons learned and common exceptions will be presented from bankers, MSB personnel and regulators. Learn from others' mistakes, what the examiners want us to do, and what techniques, questions, strategies are most effective to create a working effective partnership.
Speaker Information
Sepideh Behram   [ view bio ]
Kenneth M. Kohrs   [ view bio ]
Christopher T. Spellman   [ view bio ]
Greg Thorneycroft   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
Foreign Corrupt Practices Act
Nothing could be hotter from an enforcement perspective than the Foreign Corrupt Practices Act.

Panelists will provide you with:
  • An overview of the FCPA and a roundup of recent FCPA cases;
  • The UK anti-bribery law and other international initiatives;
  • Identifying red flags and "new" red flags;
  • How your AML program and PEP procedures can help you to design an effective FCPA Compliance Program.
Speaker Information
Raymond Banoun   [ view bio ]
Rod Fletcher   [ view bio ]
Gordon Greenberg   [ view bio ]
Richard A. Small   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
Luncheon with Speaker: Alice C. Hill
Speaker Information
Alice C. Hill   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
Human Trafficking and AML Controls
Speaker Information
William D. Langford Jr.   [ view bio ]
Arthur D. Middlemiss   [ view bio ]
Anna M. Rentschler   [ view bio ]
James Spero   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
General Session: An Inside Look at Washington
With the passage of regulatory reform and the upcoming mid-term elections, seismic changes are occurring in Washington, DC which will have a direct impact on your institution. And, just because the shifts may not directly affect BSA/AML, it doesn't mean you won't be impacted. Join us for an interesting and "inside Washington" perspective of what all this may mean for your institution and how priorities may be shifting inside your institution to accommodate these changes.
Speaker Information
Steven Beattie   [ view bio ]
William Boger   [ view bio ]
John J. Byrne   [ view bio ]
Nina A. Nichols   [ view bio ]
Dan D. Soto   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
Deep Dive Expanded Session #1: The Risk Assessment Process for New Products, Services and Markets
This two-hour mini-workshop will walk you through the process by which you take into consideration all of the risks associated with new product or service development as well as the risks associated with entering new markets.

Both large and small banks will benefit from our expert panelists who will provide:
  • Practical examples of risk assessments;
  • Ideas on how to create a process that fits with your particular organization;
  • How to ensure risk assessment is part of the overall strategy of the bank;
  • Useful questions to help assess risk.

    Additionally, you will hear from a regulator who will provide insights into what examiners are looking for in your risk assessments.
Speaker Information
Maria De Lourdes Jimenez   [ view bio ]
Elizabeth M. Snyder   [ view bio ]
Elaine R. Yancey   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
Deep Dive Expanded Session #2: Transaction Monitoring Issues (For Large Banks)
This two-hour mini-workshop will cover critical issues in transaction monitoring unique to large institutions.
Speaker Information
David W. Jeffries   [ view bio ]
Tom Lickiss   [ view bio ]
Scott Nathan   [ view bio ]
Michael Zeldin   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
Deep Dive Expanded Session #3: Transaction Monitoring Issues (For Small Banks)
This two-hour mini-workshop will cover critical issues in transaction monitoring unique to small institutions.
Speaker Information
John J. Byrne   [ view bio ]
Ann Marie Tarantino CRCM, CRP, AMLP   [ view bio ]
Timothy R. White   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
Luncheon with Speaker: Lanny A. Breuer
Speaker Information
Lanny A. Breuer   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
General Session: Prepaid Access and Electronic Banking: New Regulation and New Frauds
Speaker Information
Cindy Baltierra   [ view bio ]
Philip Lehman Keitel   [ view bio ]
Lee Jeffrey Ross Jr. (Jeff)   [ view bio ]
Susan L. Smith   [ view bio ]
Deborah S. Thoren-Peden   [ view bio ]
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CD-ROM (Win)
ABA Member Price: $15.00
Non-Member Price: $20.00
Streaming
ABA Member Price: $15.00
Non-Member Price: $20.00
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ABA Member Price: $125.00
Non-Member Price: $195.00
Streaming
ABA Member Price: $125.00
Non-Member Price: $195.00
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