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Hot Topics in AML

SKU: FR5400
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This CLE program provides guidance on suspicious activity monitoring and other hot topics in AML (anti-money laundering). There is no shortage of "hot topics" in the Anti-Money Laundering (AML) compliance. As the industry has taken a leading approach to address and combat money laundering risks, this panel will discuss current and emerging AML hot topics.

After attending this session, you will be able to:

  • Understand AML program requirements.
  • Identify and describe FINRA’s AML initiatives.
  • Discuss new concerns in the AML arena.
  • Understand proper Customer Identification Program (CIP) elements.
  • Discuss efficient practices on identifying and reporting of suspicious activity.
  • Identify common firm practices, procedures and policies.
  • Review how to conduct and document a risk assessment.
  • Identify AML monitoring procedures to keep pace with regulatory expectations (Trade Surveillance, Market Manipulation and Microcap Fraud).

Lecturer Bios

Jason Foye

Jason Foye is Examination Manager in FINRA's Anti-Money Laundering Investigations Unit (AMLIU). In this role he manages a team of eight examiners located throughout the country and has responsibility for managing AMLIU investigations, consulting with other FINRA staff nationally on AML-related examination, assists in the development of FINRA’s AML priorities and delivers AML training to FINRA staff and associated persons of member firms. Mr. Foye has been with FINRA for 10 years and previously worked as an examiner in the Florida District before assisting in the AMLIU’s creation five years ago. He is a graduate of FINRA’s Excellence in Management program at Wharton and is a Certified Anti-Money Laundering Specialist (CAMS), a Certified Fraud Examiner (CFE) and has been an invited speaker at numerous industry sponsored conferences focused on AML trends and issues.

Brent P. Cohen, Esq.

Brent P. Cohen is the U.S. Head of AML Compliance at RBC Capital Markets, LLC responsible for oversight of AML, sanctions and the financial crime program for the institutional trading business, investment banking, corporate banking and the Royal Bank of Canada-New York branch. Prior to RBC Capital Markets LLC, Mr. Cohen served as the Director of AML Compliance within FINRA’s Enforcement Department. His primary responsibilities included assisting with anti-money laundering issues arising in investigations and examinations, as well as advising staff FINRA-wide on issues involving the handling of suspicious activity reports (SARs). Before FINRA, Mr. Cohen was a vice president in the AML-Suspicious Activities Group at Goldman Sachs & Co. In that role, he was responsible for investigating potentially suspicious activity across the firm's various business lines, including private wealth management, prime brokerage and clearing and execution. Mr. Cohen also previously served as an assistant general counsel in the Money Laundering Prevention Group at UBS Financial Services, Inc., where he investigated possible violations of the Bank Secrecy Act ("BSA") and provided legal advice to business units concerning BSA requirements and the implementation of the firm's policies and procedures. Mr. Cohen received his B.A. from the State University of New York at Albany, from which he graduated summa cum laude, and his J.D., with honors, from the University of North Carolina School of Law.

Sterling Daines

Sterling Daines is deputy head of Financial Crime Compliance. He also manages the global Anti-Money Laundering/Suspicious Activities Group (AMLSAG), which is responsible for executing the firm’s anti-money laundering program firm wide. Mr. Daines joined Goldman Sachs in 2007 and was named managing director in 2010. Prior to joining the firm, Mr. Daines was a principal in the Forensic and Dispute Services practice at Deloitte Financial Advisory Services LLP, specializing in issues and investigations related to anti-money laundering, international sanctions, fraud, anti-bribery and corruption, and forensic technology within the financial services industry. He was also the national leader of Deloitte’s Forensic Data Analytics practice and a consultant to numerous private and public institutions, including the United States Department of Justice and the Financial Crimes Enforcement Network. Mr. Daines is currently the co-chairman of the Anti-Money Laundering and Financial Crimes Committee of the Securities Industry and Financial Markets Association (SIFMA) in the United States. Mr. Daines also co-chairs the Wolfsberg Group, an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks. Mr. Daines earned a BA in History and Government from The College of William and Mary in 1990.

John Fahey

John Fahey is Branch Chief in the SEC’s Division of Trading and Markets, Office of Chief Counsel. His work focuses primarily on anti-money laundering issues related to broker-dealers. As a member of the Office of Sales Practices, he also works on a range of broker-dealer regulatory issues, including those affecting senior investors and the distribution of insurance security products. He is a graduate of the Georgetown University Law Center, Georgetown University, and Lafayette College.

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