11/06/2014 12:00 p.m. - 01:30 p.m.
Broker-Dealer Compliance + Regulation and Securities Enforcement
Jenner & Block
1099 New York Avenue, NW, Suite 900
(Metro Center Station)
Washington D.C. 20001
In their increasing focus on individual liability, the government and other regulators have honed in on Anti-Money Laundering (AML) Compliance Officers. Cases brought by the SEC, Financial Crimes Enforcement Network (FinCEN), DOJ, the NY Attorney General, and FINRA, and others against AML Compliance Officers have spanned the range of financial institutions, and alleged everything from responsibility for their firms’ inadequate procedures to individual criminal liability for knowledge of and participation in the wrongful conduct. Our panel will discuss the bases for such liability, actions that an AML compliance officer and the financial institution can take to avoid individual liability, and how to defend against an investigation or prosecution of an individual.
This luncheon program is sponsored by the Broker-Dealer Regulation and SEC Enforcement Committee of the Corporation, Finance and Securities Law Section.
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