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ABA/ABA Financial Crimes Enforcement Conference

For AML and Fraud Professionals
December 2-4, 2018 • Gaylord National Resort and Convention Center • National Harbor, MD

Overview  |  Registration  |  Program  |  Hotel & Venue  |  Sponsors & Exhibitors  |  Experience FCE

2018 Advance Program (Subject to change — please check back for continuing updates)


Saturday, December 1
  |   Sunday, December 2  |   Monday, December 3  |   Tuesday, December 4


Saturday, December 1, 2018
9:00 am - 5:00 pm ALL DAY PRE-CONFERENCE WORKSHOP: ABA FinCrimesSim 2018 - A Workshop for Financial Crimes Investigations Managers and Analysts

Using real-life scenarios, attendees will dig deep into investigation techniques, tools, and risk mitigation practices. This program will also provide an updated "state of the industry" on financial crime trends and typologies, including current threats and red flags.
2:00 pm - 5:00 pm CONFERENCE EARLY REGISTRATION OPEN

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Sunday, December 2, 2018
7:30 am - 6:00 pm CONFERENCE REGISTRATION OPEN
10:00 am - 11:30 am DEEP DIVE CONCURRENT SESSIONS – SERIES 1 (6 Options)
From facilitated open discussions to table discussions to case studies - these deep dives are almost like a mini workshop.

Deep Dive 1A: The New World of Identity Management: Authentication and Verification (Repeated in Deep Dive 2A)
This deep dive will focus on the intersection points between new account CIP and existing customer KYC. We'll talk about people, process, and technology, providing you with the latest tools you need to successfully manage authentication and verification functions.

Deep Dive 1B: Leading Practices and Synergies in Data Governance:  From BSA Compliance to Fraud Mitigation (Repeated in Deep Dive 2B)
As examiners continue to ask deeper questions with regards to your data governance practices – how does your current framework meet with regulatory expectations and strong risk management practices?  This session will explore what a strong data governance framework looks like as well as quality assurance of your data and minimizing the impact of bad data.

Deep Dive 1C: Do You Know Where Your OFAC Is? Sanctions and More (Repeated in Deep Dive 2C)
From updates on Iranian, Russian and North Korean sanctions to issues in e-commerce sanctions, to resolving conflicts between the EU and US Sanctions rules, we're covering it all!

Moderator:
- Robert G. Rowe (Rob), III, Vice President/Associate Chief Counsel, Regulatory Compliance, American Bankers Association

Speakers:
- R. Joe Soniat, CAMS-FCI, CFE, CAFP, BPC, Vice President - BSA AML Officer, Union Bank and Trust

Deep Dive 1D: AML and Fraud Threats in Payments (Repeated in Deep Dive 2D)

Deep Dive 1E:  Demystifying AI and Robotics:  Digging Deep into AI - From Investigations to Quality Assurance -  Mid-Size/Large Bank (Single Session - Community Bank Session in Deep Dive 2E)

Deep Dive 1F: Top Legal Issues and Their Impact on Your Financial Crimes Compliance Program  (Repeated in Deep Dive 2F)

Speakers:
-Michael J. Leotta Partner, WilmerHale
- Wilmer Parker (Buddy), Partner, Maloy Jenkins Parker
11:30 am - 1:30 pm LUNCH ON YOUR OWN
1:30 pm - 3:00 pm DEEP DIVE CONCURRENT SESSIONS – SERIES 2 (6 Options)
From facilitated open discussions to table discussions to case studies - these deep dives are almost like a mini workshop.

Deep Dive 2A: The New World of Identity Management: Authentication and Verification (Repeated from Deep Dive 1A)
This deep dive will focus on the intersection points between new account CIP and existing customer KYC. We'll talk about people, process, and technology, providing you with the latest tools you need to successfully manage authentication and verification functions.

Deep Dive 2B:  Leading Practices and Synergies in Data Governance:  From BSA Compliance to Fraud Mitigation (Repeated from Deep Dive 1B)
As examiners continue to ask deeper questions with regards to your data governance practices – how does your current framework meet with regulatory expectations and strong risk management practices?  This session will explore what a strong data governance framework looks like as well as quality assurance of your data and minimizing the impact of bad data.


Deep Dive 2C: Do You Know Where Your OFAC Is? Sanctions and More (Repeated in Deep Dive 2C)

From updates on Iranian, Russian and North Korean sanctions to issues in e-commerce sanctions, to resolving conflicts between the EU and US Sanctions rules, we're covering it all!

Moderator:
- Robert G. Rowe (Rob), III, Vice President/Associate Chief Counsel, Regulatory Compliance, American Bankers Association

Speakers:
- R. Joe Soniat, CAMS-FCI, CFE, CAFP, BPC, Vice President - BSA AML Officer, Union Bank and Trust


Deep Dive 2D: AML and Fraud Threats in Payments (Repeated from Deep Dive 1D)

2E:  Deep Dive 1E: Demystifying AI and Robotics:  Digging Deep Into AI - From Investigations to Quality Assurance - Community Banks (Single Session - Mid-Size/Large Bank Session in Deep Dive 1E)

2F:  Top Legal Issues and Their Impact on Your Financial Crimes Compliance Program  (Repeated from Deep Dive 1F)

Speakers:
-Michael J. Leotta Partner, WilmerHale
- Wilmer Parker (Buddy), Partner, Maloy Jenkins Parker

3:15 pm - 4:00 pm FLASH SESSIONS: We Get to the Point! (Six Options)
From updates on current or pending regulations to focused discussions on a narrow topic, these 45-minute sessions are designed to “get to the point” and provide you with a quick download of actionable information. These sessions are not designed to be “how to” sessions but are short briefings on emerging concerns.   

Flash 1A:  Banking Cannabis, Industrial Hemp and CBD (Cannabidiol) - What’s the Latest? (Repeated in Flash 7A)

Flash 1B: CryptoCurrency: The Latest Risks
(Repeated in Flash 7B)

Moderator:
- Jonathan E. Lopez, Partner, White Collar & Corporate Investigations, Orrick, Herrington & Sutcliffe LLP

Flash 1C:  FinCEN’s Cyber Crime Advisory:  Separating Fact from Fiction
 (Repeated in Flash 7C)

Flash  1D: New CDD Rule:  Pitfalls in Compliance
(Repeated in Flash 7D)
In this session, we will explore key issues, gray areas, and any breaking developments with respect to the Customer Due Diligence Rule. We will also address operational problems that institutions are encountering and how to overcome them, as well as supervisory expectations with respect to implementation of the Rule.

Speakers;
- Daniel P. Stipano, Partner, Buckley Sandler LLP

Flash 1E:  A Checklist for a Data Breach:  Before, During and After (Repeated in Flash 7E)

Flash 1F:  Litigation/Reputation Risk Issues in Account Takeover/Fraud Investigations  (Repeated in Flash 7F)
4:15 pm - 5:30 pm GENERAL SESSION
AI and Reg Tech:  Emerging Issues and the Impact on Financial Crimes — from Compliance Obligations to Legal Ramifications

Moderator:
Jo Ann Barefoot- Jo Ann Barefoot, President and CEO, Barefoot Innovation Group
5:30 pm - 6:30 pm OPENING RECEPTION IN THE MARKETPLACE

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Monday, December 3, 2018
7:00 am - 6:30 pm CONFERENCE REGISTRATION OPEN
7:00 am - 8:00 am POWER HOUR BREAKFAST SESSIONS
Enjoy a continental breakfast while listening to top industry experts.
7:30 am –  8:00  am CONTINENTAL BREAKFAST IN THE MARKETPLACE
8:15 am - 10:00 am GENERAL SESSION
Issues in Financial Crimes Convergence
Personnel and Technology

Moderator:
Ryan Rasske- Ryan Rasske, Senior Vice President, Risk and Compliance Markets, American Bankers Association

Speakers:
-Peter J. Neilson, CAMS, Managing Director, Global Head of Financial Crimes Compliance, JPMorgan Chase Bank
- R. Joe Soniat, CAMS-FCI, CFE, CAFP, BPC, Vice President - BSA AML Officer, Union Bank and Trust
​10:00 am - 10:45 am COFFEE BREAK IN THE MARKETPLACE
10:45 am - 12:00 pm CONCURRENT SESSIONS - SERIES 3 (6 Options)

Concurrent Session 3A:  Red Flags in Human Trafficking (Repeated in 4A)

Concurrent Session 3B:   Terrorist Financing:  Trends and Threats (Repeated in 4B)

Concurrent Session 3C:  Finding or Shaping the Facts: Ethical Issues in Internal Investigations (Single Session)

Moderator/Speaker:
Michael J. Leotta Partner, WilmerHale

Speaker:
Mark L. Keene, Associate General Counsel – Managing Director, Bank of America

Concurrent Session 3D:   Consumer Lending Fraud (Repeated in 4D)

Concurrent Session 3E:  New Tax Risks (Single Session)

Speaker:
- Tara K. Reed, Special Agent, National JTTF Coordinator, IRS-Criminal Investigation

Concurrent Session 3F: Dynamic Risk Rating (Repeated in 6B)
Customer risk rating at onboarding is an essential piece of our customer due diligence process, but how can you incorporate risk rating as a dynamic part of your program?  From data sources to managing the process, we’ll provide you with new practices and strategies.

Moderator:
- Jim Arndts, CAMS, Senior Vice President/Director, Transformation and Reporting, Enterprise Financial Crimes Compliance Strategy, U.S. Bank
12:00 pm - 1:30 pm LUNCHEON WITH SPEAKER
The Honorable Sigal P. MandelkerFeaturing a Key Note Address by:
The Honorable Sigal P. Mandelker, Under Secretary, Terrorism and Financial Intelligence, U.S. Department of the Treasury
1:30 pm - 2:15 pm DESSERT IN THE MARKETPLACE
2:15 pm - 3:30 pm CONCURRENT SESSIONS – SERIES 4 (6 Options)

Concurrent Session 4A: Red Flags in Human Trafficking (Repeated from 3A)

Concurrent Session 4B: Terrorist Financing:  Trends and Threats (Repeated from 3B)

Concurrent Session 4C:  Updating Your Approach to Governance-Mid-Siae/Large Banks (Community Banks Session in 5C)

Concurrent Session 4D: Consumer Lending Fraud (Repeated from 3D)

Concurrent Session 4E:  Fine Tuning Your Elder Fraud Abuse Controls (Repeated in 6C)

Moderator:
- Sepideh Behram, CBCO, CAFP, Principal Vice President and BSA Officer, Burke & Berbert Bank & Trust Company

Concurrent Session 4F: Legal Support:  Maximizing In-House and External Legal Department Support and Partnerships (Single Session)
3:45 pm - 5:00 pm CONCURRENT SESSIONS – SERIES 5 (6 Options)

Concurrent Session 5A:  International AML Hot Topics (Repeated in 6A)

Speaker:
- Scott Nathan, Managing Director, Accenture

Concurrent Session 5B: A Governance Framework for Managing Product Risk (Single Session)

Concurrent Session 5C:  Updating Your Approach to Governance - Community Banks (Mid-Size/Large Bank Session in Concurrent Session 4C)

Concurrent Session 5D:  Protecting the Bank: Considerations in Whistleblowing, Individual and Corporate Liability, and Plea Bargaining (Single Session)
What are the bank’s and individual risks in criminal investigations?  Our experts will walk through the full range of legal risks and practices including internal procedures for whistleblowers, individual and corporate liability risk management practices, and the bank’s involvement in plea bargaining conversations.

Moderator:
- Teresa A. Pesce, Principal, KPMG, LLP

Concurrent Session 5E:  EDD:  Building a Framework for Analysis (Repeated in 6D)

Speakers:
- Christopher D. Simpkins, CAMS, CFE, BSA and OFAC Officer, Arvest Bank

Concurrent Session 5F: Third Line of Defense:  A Robust Control or a Roadmap for an Enforcement Action? (Repeated in 6F)
5:15 pm - 6:15 pm GENERAL SESSION
Cyber Crimes and Fraud: New Assessments for New Risks

Featuring:
Reid Sawyer, Senior Vice President, JLT Specialty USA
6:15 pm - 7:15 pm RECEPTION IN THE MARKETPLACE

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Tuesday, December 4, 2018
7:00 am - 3:00 pm CONFERENCE REGISTRATION OPEN
7:00 am - 8:00 am POWER HOUR BREAKFAST SESSIONS
Enjoy a continental breakfast while you listen to top industry experts.
7:30 am - 8:00 am CONTINENTAL BREAKFAST IN THE MARKETPLACE
8:15 am - 9:30 am
GENERAL SESSION
Regulatory Regime:  Current Regulatory Concerns and Issues for the Future
– A Regulatory Roundtable

This is NOT your annual regulatory update!  We’re mixing it up this year by providing you with our usual discussion on regulatory hot buttons but we’ll also discuss efforts in regulatory reform. 

Moderator:
Robert G. Rowe (Rob), III- Robert G. Rowe (Rob), III, Vice President / Associate Chief Counsel, Regulatory Compliance, American Bankers Association

Speakers:
- Senior officials from the Baord of Governors of the Federal Reserve, FDIC, and OCC.
9:30 am - 10:00 am
COFFEE BREAK IN THE MARKETPLACE
10:00 am - 11:15 am
CONCURRENT SESSIONS - SERIES 6 (6 Options)

Concurrent Session 6A:  International AML Hot Topics (Repeated from 5A)

Concurrent Session 6B:  Dynamic Risk Rating (Repeated from 3F)
Customer risk rating at onboarding is an essential piece of our customer due diligence process, but how can you incorporate risk rating as a dynamic part of your program?  From data sources to managing the process, we’ll provide you with new practices and strategies.

Moderator:
- Jim Arndts, CAMS, Senior Vice President/Director, Transformation and Reporting, Enterprise Financial Crimes Compliance Strategy, U.S. Bank


Concurrent Session 6C: Fine Tuning Your Elder Fraud Abuse Controls (Repeated from 4E)

Moderator:
- Sepideh Behram, CBCO, CAFP, Principal Vice President and BSA Officer, Burke & Herbert Bank & Trust Company

Concurrent Session 6D: EDD:  Building a Framework for Analysis
(Repeated from 5E)

Speakers:
- Christopher D. Simpkins, CAMS, CFE, BSA and OFAC Officer, Arvest Ban


Concurrent Session 6E:  FCPA/Anti-Corruption (Single Session)

Moderator:
- Jonathan E. Lopez, Partner, White Collar & Corporate Investigations, Orrick, Herrington & Sutcliffe LLP

Concurrent Session 6F:  Third Line of Defense:  A Robust Control or a Roadmap for an Enforcement Action? (Repeated from 5F)
11:30 am - 12:15 pm ​FLASH SESSIONS: We Get to the Point! (Six Options)
From updates on current or pending regulations or focused discussions on a narrow topic, these 45-minute sessions are designed to “get to the point” and provide you with a quick download of actionable information.    These sessions are not designed as “how to” sessions but are short briefings on emerging concerns.   

Flash 7A:  Banking Cannabis, Industrial Hemp and CBD (Cannabidiol) – What’s the Latest? (Repeated from Flash 1A)

Flash 7B: CryptoCurrency: The Latest Risks (Repeated from Flash 1B)

Moderator:
- Jonathan E. Lopez, Partner, White Collar & Corporate Investigations, Orrick, Herrington & Sutcliffe LLP

 
Flash 7C:  FinCEN’s Cyber Crime Advisory:  Separating Fact from Fiction
 (Repeated from Flash 1C)

Flash 7D: New CDD Rule:  Pitfalls in Compliance (Repeated from Flash 1D)

In this session, we will explore key issues, gray areas, and any breaking developments with respect to the Customer Due Diligence Rule. We will also address operational problems that institutions are encountering and how to overcome them, as well as supervisory expectations with respect to implementation of the Rule.

Speakers;
- Daniel P. Stipano, Partner, Buckley Sandler LLP


Flash 7E:  A Checklist for a Data Breach:  Before, During and After (Repeated from Flash 1E)

Flash 7F: Litigation/Reputation Risk Issues in Account Takeover/Fraud Investigations  (Repeated from Flash 1F)
12:15 pm - 1:30 pm SEATED LUNCHEON WITH SPEAKER

Featuring:
- Kenneth A. Blanco, Director, Financial Crimes Enforcement Network (FinCEN)Kenneth A. Blanco
1:30 pm - 2:15 pm FINAL DESSERT IN THE MARKETPLACE
2:15 pm - 3:30 pm CLOSING GENERAL SESSION
Financial Crimes Threat Mitigation:
Top Actions You Should Take When You Return Home

Moderator/Speaker:
- Ellen Zimiles, Managing Director, Head of Global Investigations and Compliance, Navigant

Speaker:
Allen G. Love, Executive Vice President, Co-Head Global AML, US BSA Officer and US FCFMG, TD Bank
3:30 pm CONFERENCE ADJOURNS

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Continuing Education Information

If you have questions regarding CLE credits offered, please contact Carol Rose, American Bar Association.
If you have questions regarding other CE credits, please contact Barbara Swan​, American Bankers Association.

This program will not be pointed until November 2018 and credit information will be provided to attendees at the conference.  To get an idea of the CE points provided (CRCM, CAFP, CPE, etc.), please review the 2017 credit worksheet.


Program Questions? Please contact Dorothy Friedlander.