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Customer Due Diligence Rule: 2017 FINRA Annual Conference

SKU: FR7200
Law & Legal Proc.
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This CLE program provides guidance on Customer Due Diligence Rule. Join FINRA Staff and industry experts as they discuss the proposed rule and steps firms can take to meet the requirements.

After attending this session, you will be able to:

  • Summarize and explain FinCEN’s Customer Due Diligence Rule.
  • Understand rule requirements.
  • Identify steps firms have taken to meet the requirements.

Lecturer Bios

Sarah D. Green, Esq.

Sarah D. Green is Senior Director in the Enforcement Division at FINRA, specializing in anti-money laundering (AML) and other Bank Secrecy Act issues. She has responsibility for consulting with both examination and enforcement staff on AML and other issues, as well as training staff organization-wide on the handling of suspicious activity reports (SARs). Ms. Green is also responsible for FINRA AML policy issues and guidance and external training of financial industry professionals domestically and internationally. Previously, she was the Bank Secrecy Act Specialist in the Division of Enforcement’s Office of Market Intelligence (OMI) at the U. S. Securities and Exchange Commission (SEC). In this role, she oversaw the Commission’s review and use of SARs, consulted with Enforcement staff on antimony laundering and SAR handling issues, and facilitated information sharing between Enforcement and SEC’s Office of Compliance Inspections and Examinations (OCIE). Prior to joining OMI, Ms. Green was a Branch Chief in OCIE, managing the Commission’s AML examination program for brokerdealers, including developing examination modules, conducting training for SEC and self-regulatory organization (SRO) staff and coordinating with the SROs on all aspects of AML examination and enforcement. Ms. Green represents FINRA on the Bank Secrecy Act Advisory Group, which advises the Financial Crimes Enforcement Network and the Department of Treasury on anti-money laundering issues. She is a frequent speaker on AML, and regularly provides technical assistance to domestic and international audiences. Prior to joining the SEC, She was an associate in the Corporate and Securities practice group at Gardner Carton & Douglas LLP. Ms. Green received her J.D. from the William and Mary School of Law and her B.A. from Hamilton College.

James Fiebelkorn

James Fiebelkorn is a Vice President and the Global AML Officer for Ameriprise Financial Inc, where he leads the enterprise AML, Sanctions, Anti-Bribery and Anti-Fraud programs. Mr. Fiebelkorn is responsible for managing a global team across Ameriprise’s wealth management, trust, asset management, and insurance businesses. Prior to joining Ameriprise, Mr. Fiebelkorn was a Director and the AML Officer for Pershing LLC, a BNY Mellon company. He was responsible for the management of a global AML team, creating policy, enhancing surveillance systems and communicating with regulatory and law enforcement agencies. Prior to joining Pershing, Mr. Fiebelkorn was a Vice President for Lehman Brothers in the Financial Crimes Prevention and Intelligence Department where he managed a team that conducted enhanced due diligence on high-risk clients. Mr. Fiebelkorn is a participant in numerous industry associations and represents Ameriprise on the SIFMA Anti-Money Laundering and Financial Crimes Committee. Mr. Fiebelkorn holds a Master of Science degree from the University of Michigan and is a graduate of Colby College. He holds Series 7 and 24 licenses.

Wendy Lanton

Wendy Lanton has been working in the financial services industry for more than 20 years. She is one of the founding principals of Lantern Investments, a FINRA registered broker dealer, and Lantern Wealth Advisors, an SEC registered investment advisor. She has been the Chief Compliance Officer of Lantern Investments since its inception in 1993. The firm has multiple business lines and currently has 44 registered representatives and operates 13 branch offices across the country. Ms. Lanton is responsible for both the firm’s compliance and the day to day operations. In December 2015 she was appointed to the FINRA Small Firm Advisory Board. She also currently serves on the Steering Committee for her firm’s current clearing firm and was the co-chairperson on the steering committee at her previous clearing firm. As a steering committee member, her industry experience is called upon to help direct both compliance and technology resources. Ms. Lanton has also served as the chairperson for multiple Compliance Forums for retail brokerage firms. As a speaker/panelist at the FINRA 2014 Annual Conference her industry experience was called upon to discuss Anti-Money Laundering and Effective Risk-Based Examinations for small firms. She was also a speaker/panelist at the FINRA 2016 Annual Conference discussing Top Regulatory Concerns. In February 2016 Ms. Lanton served as a panelist representing small firms at the Cybersecurity Conference. She has written numerous compliance-centric articles focusing on topics ranging from client suitability to cyber-security. Ms. Lanton graduated from George Washington University where she majored in International Finance. Prior to becoming a founding member of Lantern Investments, she worked for a regional bank where she managed assets for high net worth individuals and medium sized businesses.

Young Lee

Young Lee is Senior Policy Advisor in the Office of Terrorist Financing and Financial Crimes at the U.S. Department of the Treasury, where he focuses on financial transparency regulation under the Bank Secrecy Act (BSA) and related authorities; anti-money laundering and countering the financing of terrorism in the securities, derivatives, insurance, and real estate sectors; foreign and domestic data privacy law; cybersecurity; and financial services for state-authorized marijuana businesses. In that role, he represented the Department in the U.S. delegation during negotiations in 2014 and 2015 of a law enforcement information sharing agreement between the U.S. and the European Union, which entered into force in February 2017. He also served a part-time detail in 2015 at the Department’s Financial Crimes Enforcement Network (FinCEN) to develop and draft the May 2016 Final Rule on Customer Due Diligence Obligations for Financial Institutions. Prior to joining the Treasury Department, he worked as an associate in private practice in New York City; as a law clerk to judges on the U.S. Court of Appeals for the Second Circuit, the U.S. District Court for the Southern District of New York, and the U.S. District Court for the District of Columbia; and on political campaigns in 2008 and 2012. He is a graduate of Harvard College and Columbia Law School, where he was Editor-in-Chief of the Columbia Law Review.

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