ABA/ABA Money Laundering Enforcement Conference

ABA/ABA Money LAundering enforceMent conferenceFor AML and Fraud Risk Professionals

November 11–13, 2012 | Washington Marriott Wardman Park | Washington, D.C.

aba.com/MLe | 1-800-BAnKerS

Detect. Prevent. Comply.

Criminal JusticeSection

A s recent enforcement actions have shown, regulators have continued to step up their scrutiny of BSA/AML policies and procedures. Although you and your bank are challenged with doing more with fewer resources,

it is critical that you remain vigilant and avoid costly fines and penalties.

Attend to hear specifics on how to fine-tune your BSA/AML program to keep pace with regulatory expectations and to tackle emerging international money laundering threats. You will return armed with practical tools to protect your institution against financial crimes.

Banks of all sizes will benefit from this diverse program of “how to” practical sessions offering case studies filled with new prevention, detection and compliance strategies. This conference, now in its 24th year, is your capital source for best practices.

Learn from the Best and the BrightestAttend sessions developed by an advisory board of senior-level experts with more than 300 years of combined experience in both domestic and international BSA/AML laws and regulations. It’s peer-to-peer learning and a superior value for dollars spent, allowing you in a short time to gain practical solutions, fresh ideas and an unmatched banker-specific focus on how to improve your BSA/AML compliance programs.

Washington, d.c.: your one-Stop Learning resourceChoose from a wide array of sessions, from terrorist financing to human trafficking to the latest Ponzi and other financial crime schemes. Learn about new mobile payment technologies, recent IRS tax enforcement cases, the latest surveillance rules and much more. View the latest products, services and technologies when meeting industry suppliers in one convenient location. Earn valuable continuing education credits, including CRCM, CFSSP, CAMS, CPE, FIBA CPAML and CLE. (The American Bar Association secures CLE credits in all 50 states.)

“… BSA/AML risks are mutating, as criminal and terrorist elements alter their tactics to avoid detection and penetrate our defenses. … Controls that may be entirely adequate today may prove inadequate for tomorrow’s risks and threats. … [I]t is critical that banks and thrifts instill strong cultures and oversight processes.”

thomas J. curry comptroller of the currency

Your Capital Source for Best PracticesBenefit from two powerhouse organizations—the American Bankers Association and the American Bar Association—that deliver unmatched regulatory and legal expertise in the nation’s capital at the ABA/ABA Money Laundering Enforcement Conference.

regiSter todAy aba.com/MLE | 1-800-BANKERS

2 ABA/ABA Money Laundering Enforcement Conference | November 11–13, 2012

Detect.

register today

Register online at aba.com/MLE or call 1-800-BANKERS.

Conference Registration Fees

ABA Member/Service Member/Gov’t/CRCM/CFSSP $1,190

American Bar Association Member $1,190

Nonmember $1,685

Spouse/Guest* $125

* A guest is a spouse, significant other or friend who is not in a financial services occupation. A coworker or associate within financial services may not be considered a guest.

“One of the features that’s unique to the ABA/ABA joint partnership is that bankers drive the bank side of the conference and bankers know what’s facing other bankers. … [T]he attorneys can relate what they are seeing in their sector back to the banking industry to provide tools for prevention, actual examples and positive feedback.”

christopher t. Spellman, crcMSenior Vice President and chief compliance officer Morrill & Janes Bank and trust companyMerriam, Kansas

Hotel reservations Reserve Early and Save. Call 1-800-228-9290.

Call the Washington Marriott Wardman Park Hotel at 1-800-228-9290 or 202-328-2000 to make your hotel reservations. Mention the ABA/ABA Money Laundering Enforcement Conference for the special discounted rate of $269 single or double occupancy, per night, per room, plus taxes. Reserve early as the hotel does not guarantee the conference rate after Friday, October 19, 2012.

travel discountsABA offers special travel discounts through Delta Air Lines and Hertz Car Rental. Visit aba.com/Training/Conferences/Pages/travel.

“BSA is still a hot topic. There has been so much happening with the regulatory compliance world that it’s easy to take the focus off of BSA. The conference makes it very clear to not drop the ball… it’s still very important to be diligent, and the regulators will back that up with huge fines.” Jeffrey A. Asher, crcM, cAMSSenior Vice PresidentfirstBankLakewood, colorado

aba.com/MLE | 1-800-BANKERS 3

Improve fraud identification, monitoring and controls when you hear about the very latest fraud cases and red flags for fraud criminal activity. Workshop includes antifraud experts and banker-to-banker sharing of experiences and ideas.

American Bankers Association/ American Bar Association Members $475

Nonmembers $675

Visit aba.com/Fraud to view the workshop program and register online.This full-day optional pre-conference workshop is individually priced, and is separate from the conference registration fee. Fee includes full day workshop, continental breakfast, lunch and all workshop materials.

Prevent.

Comply.

ABA fraud identification and Prevention Workshop

Optional Pre-Conference Workshop

SAturdAy,November

10

Schedule at a Glance SAturdAy, noVeMBer 10

7:30 AM–5:15 PM Registration Open

8:15 AM–5:15 PM Pre-Conference Workshop

SundAy, noVeMBer 11

8:00 AM–7:15 PM Registration Open

10:00 AM–11:30 AM Expanded Sessions1 How’s Your BSA/AML Program?2 Filing CTRs and the New SAR Form: What You Need to Know

11:30 AM–1:30 PM Lunch On Your Own

1:30 PM–2:45 PMConcurrent Sessions—Series 11A Avoiding Audit Pitfalls (Repeated in 2A)1B AML Third-Party Relationships: Managing the Risks

(Repeated in 2B) 1C How to Implement and Tune Surveillance Rules (Repeated in 2C)1D From the Desk of the IRS: Lessons Learned from Recent Tax

Enforcement Cases (Repeated in 2D)1E Current Issues in OFAC Compliance (Repeated in 2E)

3:00 PM–4:15 PMConcurrent Sessions—Series 22A Avoiding Audit Pitfalls (Repeated from 1A)2B AML Third-Party Relationships: Managing the Risks

(Repeated from 1B) 2C How to Implement and Tune Surveillance Rules (Repeated from 1C)2D From the Desk of the IRS: Lessons Learned from Recent Tax

Enforcement Cases (Repeated from 1D)2E Current Issues in OFAC Compliance (Repeated from 1E)

4:30 PM–6:00 PM General Session What’s New in SAR Reporting?

6:00 PM–7:00 PM Opening Reception in the Marketplace

MondAy, noVeMBer 12

7:00 AM–6:30 PMRegistration Open

7:00 AM–8:00 AMPower Sessions

7:30 AM–8:00 AMContinental Breakfast in the Marketplace

8:15 AM–9:00 AMGeneral Session Keynote Address

9:00 AM–10:30 AMGeneral Session Hot AML Issues in 2012 and What Should Be at the Top of Your To-Do List in 2013

10:30 AM–11:00 AMCoffee Break in the Marketplace

11:00 AM–12:15 PMConcurrent Sessions—Series 33A Managing International Risk in Money Laundering (Repeated in 4A)3B Critical Issues in Human Trafficking (Repeated in 4B)3C How to Design a Monitoring and Testing Program (Repeated in 4C)3D Remittances: New Consumer Rights for International Transfers

(Repeated in 4D)3E AML and Emerging Technology (Repeated in 4E)

12:15 PM–1:45 PMLuncheon with Speaker

1:45 PM–2:15 PMDessert in the Marketplace

2:15 PM–3:30 PMConcurrent Sessions—Series 44A Managing International Risk in Money Laundering (Repeated from 3A)4B Critical Issues in Human Trafficking (Repeated from 3B)4C How to Design a Monitoring and Testing Program (Repeated from 3C)4D Remittances: New Consumer Rights for International Transfers

(Repeated from 3D)4E AML and Emerging Technology (Repeated from 3E)

3:45 PM–5:15 PMGeneral Session Lessons Learned from Recent Fraud Cases

5:15 PM–6:30 PM Reception in the Marketplace

this advance program is subject to change. Visit aba.com/MLe to view the complete list of events and program updates.


2012 exhibitors(As of August 10, 2012)

n AML RightSourcen Banker’s Toolbox, Inc.n BankersAccuityn Crowe Horwath LLPn Deloitte n Department of Homeland Securityn Detica NetReveal n Fiservn GlobalVision Systemsn KPMG LLPn LexisNexisn Navigant Consultingn Protivitin PwCn Regulatory DataCorp (RDC)n Safe Banking Systems LLCn Thomson Reuters Accelus / World-Checkn Verafinn Wolters Kluwer Financial Services

Who Should Attend? BSA/AML Officers from all sizes

of institutions

In-house and Outside Counsel

Internal and External Auditors

Banking Regulators and Examiners

Law Enforcement Officials

Fraud Investigators and Officers

Risk Managers

Consultants

tueSdAy, noVeMBer 13

7:00 AM–4:00 PMRegistration Open

7:00 AM–8:00 AMPower Sessions

7:30 AM–8:00 AMContinental Breakfast in the Marketplace

8:15 AM–9:00 AMGeneral Session Keynote Address

9:00 AM–10:30 AMGeneral Session Ask the Regulators

10:30 AM–11:00 AM Coffee Break in the Marketplace

11:00 AM–12:30 PMGovernance Deep Dive Sessions1 BSA Governance, Oversight, Reporting and Structuring

(Large Bank Focus)2 BSA Governance, Oversight, Reporting and Structuring

(Community Bank Focus)

12:30 PM–2:00 PMLuncheon with Speaker

2:00 PM–2:45 PMFinal Dessert in the Marketplace

2:45 PM–4:00 PMClosing General Session How Well Do You Know Your Account Holder? Beneficial Ownership and Domestic PEPs

4:00 PMConference Adjourns


regiSter todAy!

The American Bar Association Criminal Justice Section is the premier source of knowledge and insight into the complex issues of criminal justice that face the nation. By bringing together the perspectives of

prosecutors, defense lawyers, judges, forensic accountants, scholars, and others the Section provides valuable and thoughtfully crafted products to its members, to the legal profession overall, and to the nation.

The achievement of justice is the abiding purpose of the Section and makes it the unified voice of criminal justice. Mandatory Continuing Legal Education (CLE) accreditation has been requested from all states that require continuing legal education. Please be aware that each state has its own rules and regulations, including its definition of CLE as well as “Ethics.” Therefore, certain programs may not receive credit in some states. Please check with your state agency for confirmation of general as well as ethics approval for any program. You may contact the American Bar Association Service Center at 800-285-2221 for confirmation of CLE credit hours.

The Institute of Certified Bankers (ICB) is dedicated to promoting the highest standards of performance and ethics within the financial services industry.

The 2012 ABA/ABA Money Laundering Enforcement Conference is under review for CRCM and CFSSP credits. Check aba.com/Events/MLE.htm for continuing education credit updates.

The American Bankers Association is registered with the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have

final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Web site: nasba.org. This program is under review for credits. How the hours breakdown will depend on each attendee’s choices in the many electives.

Professional certification & continuing education credits


Conference Sponsors (As of August 10, 2012)


This program will be sent to the Association of Certified Anti-Money Laundering Specialists (ACAMS) for continuing education credit evaluation.

Alan Abel, CPA/CFF, CFEExecutive and Global AML Practice Leader, Regional Leader – Regulatory Compliance Crowe Horwath LLPFort Lauderdale, Florida

Gregory Baldwin Partner Holland & Knight LLP Miami, Florida

Elliot H. BermanSenior Vice President and General CounselJohnson Financial Group, Inc.Racine, Wisconsin

John CarusoManaging Director and Head of AML Compliance, Americas Deutsche Bank New York, New York

María De Lourdes Jiménez, Esq.Senior Vice President and Manager, Corporate Compliance DivisionPopular, Inc. San Juan, Puerto Rico

Megan HodgeChief Compliance OfficerRBC Bank USARaleigh, North Carolina

Lester M. JosephInternational Investigations Manager, Financial Intelligence UnitWells Fargo & Company Mclean, Virginia

William D. Langford, Jr.Head of Enterprise Financial Crimes ComplianceJP Morgan ChaseNew York, New York

Peter J. Neilson, CAMSSenior Vice President, Director of AML ComplianceCapital One Bank New Orleans, Louisiana

Wilmer Parker PartnerMaloy Jenkins Parker Atlanta, Georgia

Anna M. Rentschler, CRCM, CAMS, AMLPVice President and BSA Officer Central BancompanyJefferson City, Missouri

Amy G. Rudnick Partner Gibson, Dunn & Crutcher, LLPWashington, D.C.

Christopher T. Spellman, CRCMSenior Vice President and Compliance OfficerMorrill & Janes Bank and Trust CompanyMerriam, Kansas

Brian J. Wimpling, CAMSSenior Vice President Capital City Bank Tallahassee, Florida

industry-developed and industry-delivered by today’s top expertsWe’ve assembled a distinguished faculty with more than 300 years of experience, uniquely qualified in both domestic and international BSA/AML and fraud laws and regulations. Gain cutting-edge expertise and the most advanced tools and trends from today’s industry leaders.

Testimonials used in this brochure are unpaid endorsements. Views expressed are individual. Christoper Spellman is a member of the 2012 ABA/ABA Money Laundering Enforcement Conference Advisory Board. Jeffrey A. Asher is a past attendee of the ABA/ABA Money Laundering Enforcement Conference. Remark by Thomas J. Curry, were excerpted from his remarks before the Exchequer Club, May 16, 2012.

Gordon GreenbergPartnerMcDermott Will and EmeryLos Angeles, California

Richard A. Small Vice PresidentEnterprise Wide Anti-Money Laundering and Sanctions Risk ManagementAmerican ExpressNew York, New York

Co-Chairs Members

Meet the Conference Advisory Board



1120 Connecticut Avenue, NWWashington, DC 20036



Two Quick and Easy Ways to Register

Detect. Prevent. Comply.

aba.com/MLE

1-800-BANKERS (226-5377)



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ABA/ABA Money Laundering Enforcement Conference