Buckley Sandler Webcast: Conducting a Financial Crimes Risk Assessment
A comprehensive, enterprise risk assessment not only is a regulatory expectation but is the foundation upon which the BSA/AML program is built. As set out in Appendix I of the FFIEC Manual, the risk assessment allows for the development of appropriate internal controls which, in turn, provides the basis for a risk-based BSA compliance program.
This webcast builds upon the October 2015 and January 2016 webcasts in which counsel from Buckley Sandler’s FinCrimes practice as well as federal bank regulators discussed the lessons that should be learned from 2015’s enforcement actions as key regulator speeches and presentations
Please join us for a discussion of the following topics:
- A best practice overview of the financial crimes risk assessment process focused on:
- Methodology (quantitative and qualitative issues)
- Data analysis
- Insights into current expectations, common pitfalls, as well as leading and emerging industry practices
Who Should Attend: This webicast will be of particular interest to in-house legal, compliance, and risk management personnel at banks and other financial services providers.
When: Thursday, February 18, 2016 from 12:00 to 1:00 pm EST
Registration required. Please, no outside law firms, government agency personnel, consulting firms, or media. After registering and being approved, you will receive a confirmation email containing instructions for joining the webcast.
James T. Parkinson focuses on international regulatory compliance counseling, corporate internal investigations, and enforcement defense litigation. He represents clients on a variety of criminal and civil enforcement actions, including Foreign Corrupt Practices Act (FCPA), securities fraud, insider trading, false statements, and environmental matters.