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The annual FIBA conference facilitates knowledge exchange on cutting edge issues in financial crime risks through sessions, targeted panel discussions and current case studies combined with the insightful perspectives of our invited global experts.

While the conference agenda is finalized, each session’s focus continues to evolve with developments in financial crime risks. As always, prospective attendees can look forward to a comprehensive event that will set the pace for another year as successful AML professionals.

Stay ahead of the crowd! Armed with updated knowledge to meet regulatory requirements efficiently, cost-effectively, you will contribute to overall financial transparency.

Printable Version

2012 FIBA AML CONFERENCE AGENDA

Wednesday, February 22, 2012

1:00 PM
6:00 PM

PRE CONFERENCE DAY PROGRAM

U.S.- Latin America Private/Public Sector Dialogue (PSD)

Meeting of U.S. and Latin American banks, regulators and government officials, including U.S. Dept of the Treasury

Go to http://www.fiba-events.net/eventdetails.asp?EventID=-1499356055 for PSD registration details (Separate registration is required)

12:30 PM
6:30 PM

Pre-Registration

Mezzzanine

DAY ONE - Thursday, February 23, 2012
7:00 AM 6:30 PM	Registration Open Sponsored by NAVIGANT		Mezzanine
7:00 AM 8:00 AM	Continental Breakfast Sponsored by DATAPRO INC. / GLOBAL OUTSOURCE SERVICES LLC		Exhibit Area
8:15 AM 8:30 AM	2012 FIBA AML Conference Welcome Clemente Vazquez-Bello, Esq., Shareholder, GUNSTER and Chairman of the FIBA AML Conference Frank D. Robleto, President & CEO of BAC Florida Bank and President of FIBA Sven Stumbauer, Director, Forensic, KPMG LLP		Grand Ballroom Mezzanine
8:30 AM 10:00 AM	General Session What’s New in the AML Landscape 2012’s Opening Roundtable addresses the latest developments in the ever expanding AML/CTF arena.	Moderator William D. Langford Jr., Senior VP, Global Head of Compliance, JP Morgan Chase Bank NA Speakers James E. Currie, Jr., SVP/Director of Bank Secrecy Act Compliance, BBVA Compass Jamal El-Hindi, Associate Director. Regulatory Policy and Programs Division, FinCEN Jim Richards, EVP, BSA Officer, Wells Fargo John Wagner, Director, Office of the Comptroller of the Currency Suzanne L. Williams, Manager, BSA/AML Compliance Section, Division of Banking Supervision & Regulation, Board of Governors of the Federal Reserve System	Grand Ballroom Mezzanine
10:00 AM 10:30 AM	Coffee Break Sponsored by Ascendo Resources		Exhibit Area
10:30 AM 11:45 AM	THREE (3) BREAKOUT SESSIONS
	Breakout 1A Challenges and opportunities in AML/CFT risk management in Latin America Regional models of AML/CFT risk management. Control measures that are being established and implemented in the region. The challenges that a bank of such magnitude, like Bank of Brasil, faces in its AML/CFT measures. Such a bank must handle the requirements of the Brazilian regulation according to the various international standards as well as the global market requirements.	Moderator Luis Benardo Quevedo, Director, Unidad Control de Cumplimiento, Banco de Bogota Speakers Andrés Carriquiry, Gerente Ejecutivo, Oficial de Cumplimiento, Banco de la República Oriental del Uruguay Erica Ribeiro Calbo, Senior Advisor en la División de Soluciones en Prevención al Lavado de Dinero, Banco do Brasil Licda. Susan Paola Rojas, Intendente de Verificación Especial Superintendencia de Bancos de Guatemala	Chopin Mezzanine
	Breakout 1B SAR Monitoring: Program Management, Fine Tuning, and System Maximization This panel will discuss the critical program management elements, including structure and methodologies around what you monitor and why. We will also review the key attributes necessary to fine tune and operationalize monitoring systems. Attendees will have an opportunity to hear directly from bankers on how they establish, implement technology solutions, and leverage off system data to implement effective suspicious activity monitoring systems.	Moderator John Wagner, Director, Office of the Comptroller of the Currency Speakers Bill Ward, Chief BSA & Security Officer, Union Bank Deborah King, Senior VP, FIU Head, Citizens Financial Group S. Marshall Martin, Managing SVP, Enterprise Risk Executive & Co-General Counsel, City National Bank	Grand Ballroom Mezzanine
	Breakout 1C Anti-Bribery, Anti-Corruption Arrests, Investigations, Sting Operations & Convictions – The FCPA and UK Bribery Act Expand Enforcement Actions FCPA enforcement continues against individuals and with recent UK arrests for significant bribery allegations, the Serious Fraud Office has placed institutions on notice of its vigorous enforcement of the Bribery Act. Is there convergence between AML and Anti-Corruption Programs? How can your institution mitigate the risk of internal or external corrupt payments? How can financial institutions wire a “no bribe” culture	Moderator Arthur D. Middlemiss, Director of the Global Anti-Corruption Program, JPMorgan Chase & Co. Speakers Caitlin Riddolls, Director, Global AML Program Development & Governance, Royal Bank of Canada Darren Donovan, Principal, KPMG Lynne Federman, Managing Director, Regional Head, Financial Crime Risk – Americas, Standard Chartered Bank Michael Volkov, Partner, Mayer Brown LLP William Shepherd, Partner, Holland & Knight	Concourse I Lobby
11:45 AM 12:30 PM	Coffee Break & Session Presented by Deloitte Financial Advisory Services LLP AML Analytics: New Approaches for More Cost-Effective Results This panel will discuss the application of advanced analytical techniques to existing data to more effectively manage AML compliance and the utilization of resources. We will discuss some approaches that have shown positive results in the past, including customer segmentation, system optimization, and ad hoc studies. We will also discuss types of resources to consider when establishing an effective AML Analytics practice. The Objective is to discuss methods to consider for utilizing transaction and customer data to enhance the monitoring environment while improving cost effectiveness. Georges Korsun, Director, Deloitte Financial Advisory Services LLP Don Anderson, Senior Manager, Deloitte Financial Advisory Services LLP Corey Cardine, SVP, Technology, HSBC		Theater Mezzanine
12:30 PM 1:30 PM	Luncheon with Keynote Speaker Sponsored by Thomson Reuters Accelus/World-Check James H. Freis, Jr., Director, FinCEN		Grand Ballroom Mezzanine
1:30 PM 2:00 PM	Dessert and Coffee Break Sponsored by Bank of Americal Merrill Lynch		Exhibit Area
2:00 PM 3:15 PM	General Session Hot Topics in OFAC - Roundtable What’s new in the OFAC Landscape and what might be coming in 2012? Hear from industry experts on the new landscape in OFAC enforcement, expanded coverage of sanctionable activities, lessons learned from Syria and Libya and a host of other sanctions topics related to financial institutions. Stay abreast of OFAC and learn steps you can take to protect your institution from vulnerabilities.	Moderator Andres A. Fernandez, Esq., Shareholder/ Co-Leader Banking and Financial Services Pratice Group, Gunster Speakers Clay Stevenson, Managing Director & Global Economic Sanctions Executive, Bank of America Jonathan R. Thomas, Chief, Regulated Industries Oversight & Evaluation, Office of Foreign Assets Control, U.S. Treasury Department Serena D. Moe, Consultant – Economic Sanctions	Grand Ballroom Mezzanine
3:15 PM 3:30 PM	WALK TO NEXT SESSION
3:30 PM 4:30 PM	FOUR (4) BREAKOUT SESSIONS
	Breakout 2A AML Risks in Mergers & Acquisitions Does Acquiring a Troubled Institution Lead to Other AML Risks? When the primary objective in an M&A is asset quality, it is equally important to carefully assess the acquired institution’s internal controls, especially when acquiring a failed institution. Learn how to partner with other functions to bring a holistic pre-acquisition AML assessment to your bank’s acquisition team and how to remediate deficiencies when identified.	Moderator Amy G. Rudnick, Partner, Gibson Dunn & Crutcher LLP Speakers Carmina Hughes, Global AML Officer, TD Bank Lisa D. Arquette, Associate Director, Risk Management Supervision, Federal Deposit Insurance Corporation Sven Stumbauer, Director, Forensic, KPMG LLP	Concourse I Lobby
	Breakout 2B Cyber - Fraud Increasingly Hostile Online Environment In an increasingly hostile online environment, financial institutions navigate the need to expand services via mobility platforms with reduction of access to criminal enterprises. What are the emerging global cyber frauds and how do regulators and financial institutions develop frameworks to balance these objectives?	Moderator Monique A. Maranto, Director, Advisory: Co-Deputy of US AML Practice, PwC Speakers John O’Neill, Senior VP; Senior Fraud Policy Strategist GIS – Fraud Intelligence & Analytics, Bank of America Kenn Kern, Deputy Chief of Cyber Fraud, New York County District Attorney's Office Michael B. Benardo, Chief, Cyber Fraud and Financial Crimes, Federal Deposit Insurance Corporation	Chopin Mezzanine
	Breakout 2C Caribbean Roundtable What keeps Caribbean AML Officers on their toes - Is it money remitters, fraud schemes, unregulated micro-finance institutions, drug and cash couriers or being prevented from closing problematic client relationships? Hear compliance professionals from leading Caribbean financial institutions discuss AML issues that impact the region and the practical risk controls they use to address these issues. This panel focuses on current compliance issues and challenges faced by Caribbean financial institutions and those who bank them.	Moderator Wayne Shah, Senior Vice President, Wells Fargo Bank, N.A. Speakers Alan S. Abel, Director and Global AML Practice Leader, Regional Leader Regulatory Compliance, Crowe Horwath LLP Fiona Briscoe, Senior Compliance Manager, National Commercial Bank Jamaica Limited Ryan Bahadur, Senior Vice President - Regulatory Compliance, Cayman National Corporation	Concourse II Lobby
	Breakout 2D AML Issues in Emerging Payment Systems Prepaid Access Products Mobile Payments Remote Deposit Capture Keeping Pace with E-Value and E-Cash Are mobile payments more vulnerable to criminal misuse than other payments? What do all financial institutions need to know to evaluate risks in types of mobile payments and prepaid access products? Learn practical ideas to manage these risks from case typologies and leading sellers of emerging payment products and services.	Moderator Robert G. Rowe III, VP & Senior Counsel, American Bankers Association Speakers Benjamin Floyd, Senior Director & AML Compliance Officer, Walmart James E. Currie Jr., SVP/Director of Bank Secrecy Act Compliance, BBVA Compass Joseph Cachey III, Senior Vice President, Associate General Counsel, Western Union Malcolm Rowe, Director AML Technology, PriceWaterhouse Coopers Timothy P. Leary, Senior Special Anti-Money Laundering Examiner, Board of Governors of the Federal Reserve System	Grand Ballroom Mezzanine
4:30 PM 4:45 PM	WALK TO GENERAL SESSION
4:45 PM 6:00 PM	General Session Ready or Not, Here it Comes: Is Your Organization Prepared for FATCA? The Foreign Account Tax Compliance Act (“FATCA”) is here to stay, and non-compliance is not a realistic option. U.S. and foreign financial institutions affected by FATCA will need to implement their FATCA compliance programs quickly and efficiently in this new environment. Financial institutions can take several practical steps now to develop an effective FATCA compliance program: 1) preparation and education; 2) completing an impact assessment; 3) updating on-boarding procedures; 4) remediation for pre-existing accounts; and 5) potential conflicts of law issues and resolutions.	Moderator Carl A. Fornaris, Shareholder, Greenberg Traurig, P.A. Speakers Bettie N. Ricca, Deputy Associate Chief Counsel (International), IRS Ellen Zimiles, Managing Director Head of Global Investigations & Compliance, Navigant Lisa Belle, Director, BWA Compliance, Barclays Wealth America Robert F. Hudson Jr., Partner and Miami Office Managing Partner, Baker & McKenzie LLP	Grand Ballroom Mezzanine
6:00 PM 7:00 PM	Welcome Cocktail Reception Sponsored by Diaz, Reus & Targ LLP		Exhibit Area

DAY TWO - Friday, February 24, 2012
7:00 AM	Registration Open Sponsored by NAVIGANT		Mezzanine
7:00 AM 8:30 AM	Continental Breakfast Sponsored by Avila Rodriguez Hernandez Mena & Ferri LLP		Exhibit Area
8:30 AM 10:00 AM	General Session Ask The Regulators A Lively Open Dialogue With the U.S. Regulators and An Opportunity to Ask the Questions You Want Answered	Moderator Clemente Vazquez – Bello, Esq., Shareholder, GUNSTER and Chairman of the FIBA AML Conference Speakers Jamal El-Hindi, Associate Director. Regulatory Policy and Programs Division, FinCEN John Wagner, Director, Office of the Comptroller of the Currency Kathryn Hinton, Assistant Vice President, Federal Reserve Bank Atlanta Lisa D. Arquette, Associate Director, Risk Management Supervision, Federal Deposit Insurance Corporation Lourdes Gonzalez, Assistant Chief Counsel - Sales Practices, Division of Trading and Markets, U.S. Securities and Exchange Commission Michael G. Rufino, Chief Operating Officer and Senior Vice President, FINRA Suzanne L. Williams, Manager, BSA/AML Compliance Section, Division of Banking Supervision & Regulation, Board of Governors of the Federal Reserve System	Grand Ballroom Mezzanine
10:00 AM 10:15 AM	WALK TO NEXT SESSIONS
10:15 AM 11:30 AM	FOUR (4) BREAKOUT SESSIONS
	Breakout 3A Banks, Subpoenas and Writs – What’s the Right Response? Production of documents in e-format, non-destruction orders, internal warnings regarding document preservation: what do District Attorneys expect and need? What must all Compliance Officers know?	Moderator Clemente Vazquez–Bello, Esq., Shareholder, Gunster and Chairman of the FIBA AML Conference Speaker Joan Silverstein, Chief Economic Environmental Crimes Section, US Attorney's Office Southern District of Florida Norma Espinosa Sabo, VP Senior Attorney, Banco Santander International	Theater Mezzanine
	Breakout 3B Risks and Rewards in Global Trade – Case Study Understanding AML risks in international trade is imperative in today's regulatory environment. The best way to examine these challenges, and strategies for addressing them, is to present a hypothetical global trade scenario, discuss the related risks and how to mitigate them.	Moderator Robert Targ, Partner, Diaz Reus & Targ LLP Speakers Clark S. Abrams, Chief, Money Laundering and Financial Investigations Unit, Office of The Special Narcotics Prosecutor for The City of New York John Tobon, Illicit Finance & Proceeds of Crime Unit (IFPCU), Immigration & Customs Enforcement - Homeland Security Investigations (ICE-HSI) Sean O’Malley, Vice President and Deputy Chief Investigator, Federal Reserve Bank of New York	Grand Ballroom Mezzanine
	Breakout 3C Fraud and AML Convergence The Blurred Line - Is Convergence Needed? As regulators and law enforcement continue finding correlations between illicit activities of fraudsters and money launderers, how can fraud control and AML functions work together to increase effectives and efficiencies. No longer a question whether these two disciplines should integrate rather, the question is how far should an institution should go to integrate and what spectrum of opportunities, benefits and drawbacks challenge institutions?	Moderator Steven Beattie, AML Services Leader, Partner, Ernst & Young LLP Speakers Bill Ward, Chief BSA & Security Officer, Union Bank Lisa Grigg, Senior AML Compliance Executive for North America & Bank Secrecy Act Officer, Bank of America Lynne Federman, Managing Director, Regional Head, Financial Crime Risk – Americas, Standard Chartered Bank	Chopin Mezzanine
	Breakout 3D Private Banking With the renewed spotlight on beneficial ownership and Kleptocrats - Is private banking again in the regulatory spotlight? Learn how factors from recent regulatory exams and criminal enforcement cases may impact private banking and why the relationship between Sales and Compliance is so critical.	Moderator Stephen C. Strombelline, Managing Director, BNP Paribas Speakers Jennifer Shasky Calvery, Chief Asset Forfeiture Section, U.S. Department of Justice Marcelo Coscarelli, Chief Operating Officer, Itau Private Bank Rick MacNamara, Director AML Risk Supervision, Federal Reserve Bank of Atlanta Tim Maroney, Senior VP Chief Compliance Officer, BNP Paribas Miami Agency & BNP Paribas Investment Services, LLC	Concourse I Lobby
11:30 AM 12:15 PM	Coffee Break & Session Presented by Ernst & Young Client On-boarding, FATCA and KYC– Leveraging existing roles and processes to enhance results New FATCA requirements have placed additional demands on the compliance role. Understanding FATCA requirements and identifying approaches for addressing them is a challenge, event for seasoned compliance professionals. In this session Ernst & Young will not only address key FATCA requirements but discuss strategies for enhancing your AML program by leveraging the FATCA customer data. This session will focus on: customer and counterparty classification requirements under FATCA FATCA requirements that may impact your existing client data information how banks are aligning their FATCA and AML programs enhancing efficiency and cost containment -Neil Bromberg, Principal, Ernst & Young -Steve Beattie, AML Services Leader, Partner, Ernst & Young		Theater Mezzanine
12:15 PM 1:30 PM	Luncheon with Keynote Speaker Sponsored by PwC Pablo Martinez, Deputy of the Criminal Investigative Division, U.S. Secret Service, Cyber Branch		Grand Ballroom Mezzanine
1:30 PM 2:15 PM	Dessert and Coffee Break and Session Presented by WNF Law, PL - Waserstein Nunez & Foodman FATCA: You can run but you cannot hide. The days of bank secrecy are ending. WNF will discuss the Foreign Account Tax Compliance Act (FATCA) and it's affect on foreign financial institutions and U.S. persons with foreign accounts. FATCA is the latest weapon of the U.S. to attack tax non-compliance and bank secrecy. WNF will discuss what you should and what may happen if you do not. Steve L. Waserstein – Founder of WNF Law, PL – Waserstein Nunez & Foodman Daniel Foodman – Founder of WNF Law, PL - Waserstein Nunez & Foodman		Theater Mezzanine
2:15 PM 3:30 PM	General Session International AML Exchange Global events and new and emerging local regulatory requirements increasingly compel AML & Sanctions Officers to expand and keep current their awareness to be able to implement effective programs. This panel is comprised of experts from the global financial community who will discuss: What are the latest trends and developments in international money flows What new regulations and typologies have emerged in various regions, Europe, Asia, LATAM How changes in FATF recommendations may affect your overall AML Program How do institutions integrate multiple requirements and regulatory expectations to develop an effective enterprise wide AML Program that is globally consistent but detailed enough for each jurisdiction	Moderator Lester Joseph, Manager, Manager, Global Financial Crimes Intelligence Group, Wells Fargo & Company Speakers Carlos F. Gonzalez, Partner, Diaz, Reus & Targ LLP Francisco Gabriel Romo Navarrete, Director General for the Prevention of Transactions with Resources from Illicit Proceeds, National Banking and Securities Commission Juliet Ibekaku, Advisor, Anti- Corruption and Anti-Money Laundering, British Department for International Development (DFID) and Minister of Justice, Nigeria Pamela J. Johnson, Managing Director, Global Head, Anti-Money Laundering & Sanctions Compliance, Citigroup Inc. Xingjian (Jeff) Zhao, Associate Attorney, Diaz, Reus & Targ LLP	Grand Ballroom Mezzanine
3:30 PM 3:45 PM	WALK TO NEXT SESSION
3:45 PM 5:00 PM	FOUR (4) BREAKOUT SESSIONS
	Breakout 4A The New MSB Definition – What Is Going to Happen To Non-US MSBs? Could the Foreign MSB Requirements Push MSBs Into Parallel Markets? Is FinCEN’s expanded definition “Persons wherever located doing business, whether or not on a regular basis or as an organized or licensed business concern, wholly or in substantial part within the United States“ causing financial institutions to re-examine whether they have accounts for unregistered MSBs? What client activities performed within the US might cause them to be classified as an MSB regardless of location? Will your foreign based MSBs with no physical presence in the US be classified as MSBs?	Moderator Clemente L. Vazquez – Bello, Esq., Shareholder, Gunster and Chairman of the FIBA AML Conference Speakers Benjamin Floyd, Senior Director & AML Compliance Officer, Walmart Francisco Gabriel Romo Navarrete, Director General for the Prevention of Transactions with Resources from Illicit Proceeds, National Banking and Securities Commission Joseph Cachey III, Senior Vice President, Associate General Counsel, Western Union Lee Davis, Office of Regulatory Policy, FinCEN	Concourse II Lobby
	Breakout 4B What’s New in Trade-Based Money Laundering? Red Flags & Actual Cases Is TBML the direction for increased value transfers? As loopholes in AML programs are minimized, is the informal banking system increasingly transferring value through goods? Learn how export and import operations are used as a cover for movement of illicit funds.	Moderator Wayne Shah, Senior Vice President, Wells Fargo Bank, N.A. Speakers Deborah Morrisey, Special Supervisor, DHS ICE Homeland Security Investigations Lester Joseph, VP, Manager Global Financial Crimes Intelligence Group, Wells Fargo & Company Clark S. Abrams, Chief, Money Laundering and Financial Investigations Unite, Office of the Special Narcotics Prosecutor for the City of New York	Concourse I Lobby
	Breakout 4C Broker Dealers – New Challenges in the U.S. Regulatory Environment Fiduciary Standards, Foreign Finders, FATCA, and More. Master / Sub Accounts, Micro-Cap Fraud, Insider Trading – Are They on Your Radar? What are leading practices for convergence of AML and Operational issues in brokerage firms? What challenges are faced by brokerage firms that operate globally and are U.S.-based? Will Investment Advisors be subject to AML requirements? Learn from regulators and leading brokerage firms who will discuss these and other emerging themes.	Moderator Sergio Alvarez-Mena, Executive Director, Morgan Stanley Smith Barney Speakers Andrew Aspen, Assistant General Counsel, Bank of America Jeff Horowitz, Managing Director, Chief AML & OFAC Officer, Pershing LLC Lourdes Gonzalez, Assistant Chief Counsel - Sales Practices, Division of Trading and Markets, U.S. Securities and Exchange Commission Michael G. Rufino, Chief Operating Officer and Senior Vice President, FINRA Sven Stumbauer, Director, Forensic, KPMG LLP	Grand Ballroom Mezzanine
	Breakout 4D Risk Assessment – It’s Done: Now What To Do With It? A dialogue with financial institutions from around the world on how they implement and use the AML/CTF/Sanctions risk assessments after completion. How do you tie the risk assessment to your AML Program and why is this a critical activity.	Moderator David Hernandez, Chief Risk Officer & BSA Officer, BAC Florida, Coral Gables Florida Speakers Melanie Garman, Executive Vice President/Chief Compliance Officer, Mercantil Commercebank, NA Rachel Sloan, Principal, Deloitte Financial Advisory Services LLP Susan Galli, Senior Vice President and AML Program Director, HSBC	Chopin Mezzanine
2012 FIBA AML Compliance Conference Adjourns

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