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May 7 & 8, 2019Hilton Franklin Cool SpringsFranklin, Tenn.
BSA/AMLCOMPLIANCE SCHOOL
This program sponsored by
How do you maintain your credentials for managing, auditing, or implementing the portion of your institution’s compliance function that relates to money laundering, ter-rorist financing, or even national security? It is a question you must answer during every future BSA/AML regulatory examination. Your answer will serve as the regulators’ first impression of you and your bank’s compliance efforts.
The curriculum for this school changes every year. Your continued attendance establishes your bank’s, as well as your own, commitment to staying abreast of the most dynamic and pervasive compliance responsibility your institution has.
Every bank must provide ongoing training to those responsible for BSA and AML com-pliance. This school gives your institution an opportunity to listen to and interact with regulators from both the state and federal functional regulatory agencies. It also allows you a unique opportunity to get some rare “how to” instruction in BSA/AML compli-ance issues.
AUDIENCE/PROGRAM LEVEL/DELIVERY METHODThis live, overview program focuses on the many current BSA/AML issues facing financial firms and will assist them with ideas to meet the annual training requirements imposed by the BSA regulations. It also offers attendees the opportunity to network with other professionals interested in BSA compliance. Participants will receive an up-dated manual and will have ample time to ask about issues/situations within their own financial firm.
WHO SHOULD ATTENDThis school is designed for personnel who have management and/or functional level responsibilities for BSA compliance and/or operations. Individuals with retail banking, risk management, compliance, audit, operational, corporate banking, and training responsibilities will benefit from this program.
PREREQUISITESThis is not an introductory program; all attendees should have at least 6 hours of formal BSA/AML training prior to attending. The Tennessee Bankers Association sponsors a one-day BSA/AML overview program in several locations across the state each fall that serves as a great foundation for attending this school.
May 7 & 8, 2019Hilton Franklin Cool SpringsFranklin, Tenn.
BSA/AMLCOMPLIANCE SCHOOL
This program sponsored by
TUESDAY, MAY 7, 20198:00 a.m. Registration/Continental Breakfast
9:00 a.m. Opening Remarks
9:10 a.m. The View from WashingtonRobert Rowe, Vice President & Associate Chief Counsel, Regulatory Compliance, American Bankers Association, Washington, D.C.
Congress and the regulators plan to focus attention on BSA/AML reforms in the coming months, but what does that really mean? Continuing to adapt to beneficial ownership requirements is a chal-lenge, but will Congress get into the act? Will we ever see an updated FFIEC BSA/AML exam manual? What else are the regulators up to? Is FinCEN planning new changes? Will changes make things better or worse? Will the changes in Congress have any impact on cannabis? Rowe will walk through some of the recent changes and give us an update on what Congress, the federal regulators, and ABA are doing.
10:30 a.m. Break
10:45 a.m. What Happened Since Last Year?Laura Wilson, Principal, Pegasus Educational Services, LLC, Louisville, Ky.
This is a fast-paced review of the good, the bad, and the ugly BSA/AML compliance milestones we all passed since the last 12 months. Wilson will offer insights about how these developments may or may not affect your day to day compliance efforts. The major enforcement actions, BSA reporting trends, FinCEN communications, and inter-agency guidance are all addressed.
Noon Lunch
1:00 p.m. Hemp. Hemp. Hurray! The 2018 Farm Bill and the Hemp Industry in TennesseeDavid Waddell, Director of Operations, Tennessee Department of Agriculture, Nashville, Tenn.
How will the federal decriminalization of hemp impact the bank’s due diligence program? Waddell discusses the 2018 Farm Bill’s impact on the on the hemp industry in Tennessee. Can anyone be a grower, man-ufacturer, or retailer, or does it take a special license?
Hemp. Hemp. Hurray! Part 2Laura Wilson, Principal, Pegasus Educational Services, LLC, Louisville, Ky.
Can Tennessee banks provide banking services to growers, processors and retailers of hemp products? Should we ask questions to identify these customers at onboarding? Do we need to require any special documenta-tion? Will these types of businesses get added scrutiny in an exam?
2:30 p.m. Break
2:45 p.m. Acing the Test: Examination Procedures for Customer Due DiligenceLaura Wilson, Principal, Pegasus Educational Services, LLC, Louisville, Ky.
Most of the examination’s focus to date has been on the bank’s due diligence program—policies, procedures and processes—but the new exam procedures issued in May 2018 provide insight into the emphasis of future exams. A big chunk of the bank’s AML efforts will be subject to scrutiny. This session prepares you to ace the test!
4:00 p.m. Reception
WEDNESDAY, MAY 8, 20198:30 a.m. Registration/Continental Breakfast
9:00 a.m. What to Expect in Your Next BSA ExaminationFederal Deposit Insurance Company; Federal Reserve Bank of Atlanta; Office of the Comptroller of the Currency; Tennessee Department of Financial Institutions
Representatives from each of the federal functional regulatory agencies as well from the Tennessee Department of Financial Institutions will be present to review their agencies’ current philosophies and practices. They will provide an overview of their agency’s current approach to BSA/AML examinations, and attendees will have an opportunity to ask questions and participate in give and take discussions. This is your chance to see what the focal points of your next on-site examination might be.
Do you have specific questions? Be ready to submit them on day-one of the school for inclusion in the panel discussion.
10:30 a.m. Break
10:45 a.m. 21st Century Financial Crime InvestigationCesar Salazar, Assistant Special Agent in Charge, Technical Services Unit, Tennessee Bureau of Investigation, Nashville, Tenn.
Nicholas Christian, Special Agent, Technical Services Unit, Tennessee Bureau of Investigation, Nashville, Tenn.
The Tennessee Bureau of Investigation is on the frontline in the fight against financial crime in the Volunteer State. In this session, Christian and Salazar from the TBI’s Technical Services Unit discuss cyber crime investigation, including financial exploitation, money mule networks, and identity theft. What do they look for? How can banks help?
Noon Lunch
1:00 p.m. Up Your Game: Innovation, Fraud Detection, and Your AML SystemsRepresentative from Verafin, St. John’s, Newfoundland, Canada
What is available? How does it work? What information is generated? Why do we need it? How much trouble will ensue if the systems are not used to their full potential? This is not a commercial for Verafin, but rather a look into intelligent AML software and its pros and cons. Come with questions!
2:15 p.m. Break
2:30 p.m. Money Laundering: Ready. Set. Report.Laura Wilson, Principal, Pegasus Educational Services, LLC, Louisville, Ky.
There is no shortage of suspicious activity, but money laundering is the original sin. Money laundering takes many forms and occurs daily in most financial institutions. In this session, Wilson focuses on money laundering methods from simple to complex and provides take-home training for bank employees.
4:00 p.m. Adjourn
PROGRAM FACILITATOR
LauraWilson
Laura Wilson is a principal with Pegasus Educational Services, LLC. She is a gifted trainer who proves learning can be fun. Audiences routinely comment that her recollection of material content and sense of humor are unique among presenters on technical topics.
Her career in training on banking related issues began in 1987. At one time she served as the regulatory compliance trainer for a $3 billion savings bank. Later, she was a senior consultant and full-time trainer for a regional consulting firm for financial insti-tutions.
She has served on the faculty of the OTS’s Level I Compliance School and the FDIC’s Bank Operations and Compliance School for examiners. In addition to presenting seminars for 17 state banking associations, she has been an instructor at compliance schools sponsored by the Iowa, Kentucky, Texas and Pennsylva-nia bankers associations. She is also a member of the American Society for Training and Development.
HOTEL INFORMATION—NEW LOCATIONThe Hilton Franklin Cool Springs (601 Corporate Centre Drive, Franklin, TN, 37067) is hold-ing a limited block of rooms on a first-come, first-served basis at a special group rate of $164 per night for a standard room rate. To reserve your accommodations, use the link https://bit.ly/2BTAiXA or contact the hotel directly at 615-771-1995 and specify that you are attending the “TBA BSA/AML School” program.
Monday, April 15 is the deadline for making reservations. When the allotted room block is sold out, room rates return to standard prices on a space-available basis, even if it is before the April 15 deadline. The hotel will release all unreserved rooms for general sale on April 16. Please make your overnight arrangements early.
Parking: Hotel self-parking is complimentary.
GENERAL INFORMATIONVisit TNBankers.org/education/events for information on attire, special needs, cancellation policy, inclement weather policy, continuing education credit information, photo policy, and antitrust policy.
RECEPTION INFORMATIONTuesday, May 7, 2019, 4:00 p.m., Hilton Franklin Cool Springs Hotel, Prefunction Area
TBA CONTACT:Sheena FrechDirector of [email protected] or 615-244-4871
CONTINUING EDUCATION CREDITAttendees qualify for 13 hours of Continuing Professional Education (CPE) credit in the area of Specialized Knowledge.
PROGRAM FEESFee covers instruction; updated manual; conti-nental breakfast, refreshment breaks, and lunch both days; and reception on Tuesday. Please register early. Day-of-program registrations include an additional $50 late registration fee.
No written confirmation of seminar registra-tion will be sent from the TBA.
Participation in TBA programs is limited to members, associate members, and nonmembers from an eligible membership category at applicable member or nonmember rates.
TBA Members / Associate Members Nonmembers
Early Registration $530 $1,060
Early registration deadline is April 23, 2019.
Registration $580 $1,110
Day-of-Program $630 $1,160
May 7 & 8, 2019 | Hilton Franklin Cool Springs | Franklin, Tenn.
BSA/AML COMPLIANCE SCHOOL
BSA/
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