Event

Institute of International Bankers Risk Management and Regulatory Examination/Compliance Seminar

October 24, 2016 {ml-event-to} October 25, 2016

This once-a-year program is well recognized by the regulatory community as providing definitive and timely information on key examination and supervision issues and best practices. It provides an excellent opportunity for experienced officers to be thoroughly updated on new developments and gain practical insights in preparing for examinations. It also offers new officers a solid introduction to the US regulatory system and compliance requirements.

The program will include the following topics:

  • Regulatory/Supervisory Policy Initiatives
  • Lessons Learned from Recent Enforcement Actions/Investigations Involving Trading Floor Activities
  • Supervisory Developments Regarding BSA/AML and OFAC Compliance
  • Hot Compliance Topics for Global Swap Dealers
  • Cybersecurity: Regulatory Developments and Industry Practices
  • The Perspectives of Prudential Supervisors on Examination Issues
  • Practical Suggestions for Complying with the DFS Transaction Monitoring and Filtering Requirements
  • How to Attract and Retain Compliance Department Personnel