ACFCS Financial Crime Conference & Exhibition

Topics

• Oh, What a Tangled Web of Sanctions – Effective Compliance in an Era of Complexity and High-Stakes Enforcement
   

Steve Ganis will be participating on two panels:

• Oh, What a Tangled Web of Sanctions – Effective Compliance in an Era of Complexity and High-Stakes Enforcement

  • Unrest in the Ukraine, rapprochement with Iran, a sudden thaw with Cuba — the last 18 months have seen a series of changes in the geopolitical landscape that have substantially altered the ground rules for sanctions compliance. This session unpacks the major changes in sanctions regimes from the US, European Union, and other nations targeting Russia, the Ukraine, Iran, and Cuba. It will hone in on unprecedented developments related to Russian sanctions, examine the lessons that can be drawn from recent enforcement actions, and give advice on complying at a time in which many argue that sanctions have become a form of “economic warfare.” 

• The Financial Crime Landscape for the Securities Industry

  • Both in the US and abroad, regulators have stepped up their scrutiny of — and expectations for — financial crime compliance programs at securities firms. The result has been a tougher enforcement landscape, including more potential liability for individual compliance officers. This session unpacks key emerging issues and risk areas in the securities field, including AML challenges and suspicious activity reporting in microcap transactions and issues in the alternative and complex product spaces. It also examines recent enforcement trends and priorities by FINRA and the SEC. The session will also devote substantial time to audience Q&A.