Buckley Sandler Webcast: Recent BSA/AML Enforcement Actions: Root Causes and Lessons Learned
U.S. banks and other institutions are under intense scrutiny from law enforcement agencies as well as federal and state prudential regulators for their Bank Secrecy Act/Anti-Money Laundering (BSA/AML) compliance programs. Recent enforcement orders from the Office of the Comptroller of the Currency, Federal Reserve, and the Federal Deposit Insurance Corporation, the New York Department of Financial Services, as well as FinCEN and law enforcement agencies, provide a road map of the issues of primary concern: issues for which financial institutions and financial crimes compliance professionals should be prepared.
This webcast focused on the causes of these actions and the lessons to be learned from them. Panelists from Buckley Sandler's BSA/AML practice group, including the former Director of the OCC's Enforcement and Compliance Division, will discuss the practical steps necessary to prepare for upcoming examinations and avoid enforcement actions, as well as what to do once an action is in place.
- Daniel P. Stipano, Partner, Buckley Sandler, brings more than three decades of bank regulatory and enforcement experience. Prior to joining the firm, Mr. Stipano was at the Office of the Comptroller of the Currency, where he served as Deputy Chief Counsel for 16 years. In his practice he advises on all aspects of bank regulatory and compliance issues.
- James T. Parkinson, Partner, Buckley Sandler LLP, 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, securities fraud, insider trading, false statements, and environmental matters.
Who Should Attend: This webcast will be of particular interest to in-house legal, compliance, and risk management personnel at banks and other financial services providers.
When: Thursday, March 16, 2017 from 12 - 1 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.