JULY - DECEMBER 2017 Your source for current, convenient AML training acams.org/aml-training-web-seminars
ACAMS webinars provide much needed industry dialogue. It is great to be able to get your questions answered and form discussions with a variety of financial institutions. Everyone s perspective and experiences help to clarify the next steps needed to be taken at your own institution in preparation for regulatory change. Nicole Murray Compliance Manager Golub Corporation
TABLE OF CONTENTS No matter your industry, role or institution type, you will find AML training to fit your needs with ACAMS webinars. About ACAMS Webinars 4 Learning Tracks 5 Event Calendar 6 July Webinars 8 August Webinars 10 September Webinars 13 October Webinars 17 November Webinars 20 December Webinars 23
About ACAMS Webinars ACAMS webinars provide a convenient, costeffective method of delivering mandated AML training without the hassle and added expense of leaving the office. Focused on providing practical knowledge and industry updates, ACAMS webinars offer low-cost, high-quality training for your entire compliance staff. Stream live webinars from your desktop or share them on a screen with your entire department and earn CAMS credits in the process. In this guide, you will find a six-month lineup of events with learning objectives.
Learning Tracks for Everyone INVESTIGATIONS In today s world of near limitless electronic resources, it can be a real challenge to find your starting point in a financial crime investigation. Additionally, it is also easy to get lost in digital data and lose sight of the powerful intelligence that can be gathered by creating strong relationships with law enforcement. The Investigations Learning Track combines the latest best practices for intelligence gathering with the deductive reasoning skills needed to connect the dots in any investigation. GLOBAL PERSPECTIVES Understanding global anti-money laundering (AML) and counter-terrorist financing (CTF) standards is paramount to the success of every compliance function and department. Improving global AML/CTF compliance requires an ongoing process that identifies regional trends and typologies in order to prevent financial crime and protect your institution from criminal attacks. The Global Perspectives Learning Track homes in on regional issues and provides global solutions to tackling these challenges. COMPLIANCE STRATEGIES Year after year, the anti-money laundering (AML) community is witness to new reforms and compliance standards, added regulatory pressures and increasing enforcement actions. The question you now must ask yourself is this: Am I up to speed for 2017? The Compliance Learning Track provides practical insights including how to critically analyze your current compliance program, preparing for proposed changes coming down the pipeline, and accurately making adjustments based on new regulatory developments and expectations. CASE STUDY Oscar Wilde once said that experience is simply the name we give our mistakes. This holds particularly true of the knowledge we glean and share from our own compliance errors and also our successes. Ripped from the financial crime headlines and dissected over two hours, the case study learning track delivers real-world knowledge and insight. From missteps to innovations, you will take away proven tools tested in the field to reinforce your own compliance efforts. RISK MANAGEMENT A risk-based approach is the gold standard among compliance professionals when it comes to understanding and managing money laundering exposure. However, how do you develop a risk scoring methodology that s right for your institution? What are the consequences and complexities of de-risking? The Risk Management Learning Track will take you down the path of understanding how risk management has, and continues to evolve. REGULATORY UPDATES Each year compliance professionals peg regulatory changes as the biggest problem faced in their departments due to an era of constant change as an array of new regulations are implemented. How will the new EU directive change the requirements for my department? How will FinCEN s beneficial ownership changes alter the way I perform due diligence? What sanctions changing are coming and how do I prepare for them? The Regulatory Updates Learning Track takes an interpretive approach to these challenges, making it easier to understand how they affect your institution. FINANCIAL CRIME TRENDS When it comes to money laundering, cash is king, but with advances in cybercrime, virtual currencies, sophisticated trade-based money laundering schemes and a host of new criminal funnels, it s mandatory to remain on top of the newest trends impacting the compliance community. The Financial Crimes Trends Learning Track highlights the newest criminal techniques for money laundering and delivers clever tools you can implement to keep your compliance program at the top of its game. acams.org/aml-training-web-seminars 5
Webinar Calendar JULY - DECEMBER 2017 1 CAMS credit per hour JULY 19 Small and Mid-Sized Institution Focus: Practical Lessons for Compliance Departments with Limited Resources 26 Focus on Canada: Reviewing Recent Regulatory Developments and Compliance Trends AUGUST 2 Law Enforcement Perspective: Guidance on New Money Laundering Trends, Methods and Techniques 16 Streamlining Processes When Banking Third-Party Payment Processors and Merchants 23 Incorporating Practical Methods to Meet Enhanced AML Expectations for the Gaming Industry SEPTEMBER 1 FREE WEBINAR (APAC) APAC Regulatory Update: Upcoming FATF Mutual Evaluations, Ongoing Compliance Expectations and Other Requirements 6 The Dark Web: What is it, How to Leverage Information from Experts & Understand Exposure to Risk 13 A Guide to the Life Cycle of Suspicious Activity Reports (SARS) 20 Acing an Interview & Landing a Career in BSA/AML Compliance 6 acams.org/aml-training-web-seminars
OCTOBER 4 Fortifying the Compliance Function to Combat Human Trafficking 18 Securities Spotlight: Combating Common Fraud, Insider and Manipulative Trading Schemes 25 Cyber Attacks: Creating Action Plans to Prevent, Identify, Recover and Eliminate Threats NOVEMBER 8 Risk-Based Approaches: Onboarding MSBs and Issues for MSBs in Securing Banking Services 15 Bolstering Compliance Programs to Combat Proliferation Financing 17 FREE WEBINAR (Europe) Gatekeepers in 2017: Roles and Responsibilities of Law Firms, Accountants and Advisors Unequivocally, the best single source for AML information. Alberto Flores Compliance Officer Plains Capital Bank DECEMBER 8 FREE WEBINAR (APAC) APAC Update: Lessons Learned From Recent High-Profile Bribery and Corruption Investigations 13 ACAMS Moneylaundering.com Year-End Compliance Review and 2018 Outlook 15 FREE WEBINAR (Europe) Diamonds are Forever: Financial Crime and the European Precious Metals and Stones Industry acams.org/aml-training-web-seminars 7
JULY 19 12:00 2:00 PM ET Small and Mid-Sized Institution Focus: Practical Lessons for Compliance Departments with Limited Resources Level: Intermediate - Advanced Adopting risk-based programs is one way for small, strapped compliance departments to leverage resources to meet heightened regulatory expectations. This in-depth webinar brings together seasoned industry experts to illustrate how small and mediumsized institutions can use limited resources to deal with their institutions risks and offer various suggestions to help make every compliance department a lean and effective AML-machine. Banking Managers Compliance Professionals AML Consultants Legal and Audit North America Bank/Credit Unions Customizing training for the unique challenges of small/mid-sized institutions to optimize their expertise and enhance cross-functional benefits Implementing cost-effective solutions that balance institutional risk appetite with any financial inclusion goals Supplementing resources with external advisors on a part-time or temporary basis Analyzing real-life cases to develop best practices for adapting to changes in regulations 8 acams.org/aml-training-web-seminars
JULY 26 12:00 2:00 PM ET Focus on Canada: Reviewing Recent Regulatory Developments and Compliance Trends Level: Intermediate - Advanced Covering understanding FINTRAC s revised guidance related to politically exposed persons (PEPs), updates to the Proceeds of Crime (Money Laundering) and Terrorist Financing Act, lessons from the FATF Mutual Evaluation of Canada debrief, and the latest Fintech regulatory developments which are just some of the challenges facing Canadian compliance professionals. Join this panel for a fast-paced examination of compliance hurdles throughout Canada and practical strategies for overcoming them. Risk Assessment Managers Compliance Officers FCC Personnel Canada Bank MSB Identifying key changes and updates to FINTRAC s regulatory amendments and the New Guidance Project Assessing emerging regulatory issues including feedback included in the FATF report and Fintech regulatory development Formalizing implementation strategies to meet regulatory demands and support institutional business goals acams.org/aml-training-web-seminars 9
AUGUST 2 12:00 2:00 PM ET Law Enforcement Perspective: Guidance on New Money Laundering Trends, Methods and Techniques Level: Intermediate - Advanced Compliance professionals share a unique bond with law enforcement both professions serve on the front line in the fight against money laundering and related financial crimes. Once compliance professionals provide law enforcement with the financial intelligence they have gathered while working to identify suspicious activity, it is now up to law enforcement to use this information to make prosecutable cases. In this webinar members of law enforcement with investigative experience provide guidance related to money laundering trends, methods and techniques as well as information for teaming with law enforcement to investigate financial transaction red flags and leverage investigative resources. FIU/FCC Staff Compliance Staff Legal/Regulatory Advisors Banking/All Financial Institutions Reviewing recent law enforcement cases to illustrate new money laundering trends, methods and techniques used by financial criminals Examining investigational examples and methods to tune a compliance program s AML transaction monitoring tools and recognize customer activity that previously may have not appeared to be suspicious Creating and maintaining an outreach program with law enforcement to investigate red flags like possible organized fraud schemes 10 acams.org/aml-training-web-seminars
AUGUST 16 12:00 2:00 PM ET Streamlining Processes When Banking Third- Party Payment Processors and Merchants Level: Intermediate - Advanced Heightened regulatory scrutiny and the recent uptick in enforcement actions have created challenges for compliance professionals when banking third-party payment processors and merchants. Some of these challenges include requirements to obtain extra information, extensive transaction monitoring, and implementation of policies that include appropriate oversight and controls commensurate with the risk and complexity of the activities. Our panel of experts will dive into the ever-changing environment of third-party relationships, including practical approaches when boosting current monitoring techniques and developing robust internal processes that align with expectations of the regulators. Risk Management Officers Onboarding Personnel Compliance Managers North America Bank/Financial Institutions Developing policy, procedures and risk management strategies for banking third-party payment processors including conducting high-level CDD to reveal any potential risks and supply chain integrity Reviewing recent regulatory updates and enforcement actions involving third-party processors Auditing processor s KYC and AML policies to establish all regulatory requirements are met acams.org/aml-training-web-seminars 11
AUGUST 23 12:00 2:00 PM ET Incorporating Practical Methods to Meet Enhanced AML Expectations for the Gaming Industry Level: Intermediate - Advanced Casino operators and other gaming organizations are facing AML related challenges due to increased regulatory pressure and fines. The implementation of robust AML policies and procedures that effectively identify, report and mitigate risks will in turn ensure that casinos are staying ahead of criminals and preventing illicit funds derived from criminal proceeds from entering the property. During this webinar, our casino and gaming experts will detail best practices and practical approaches for aligning policies and procedures with an increasingly complex regulatory and legal landscape. Gaming Industry Compliance Officers Bankers with Gaming Industry Clients Legal/Audit Advisors to Gaming Organizations Gaming Banking Legal Implementing enterprise-wide automation of CDD, transaction monitoring and case management capabilities to ensure proper reporting of suspicious transactions Developing risk assessments to include all relevant elements and risk ratings Detailing best practices to spot, combat and report suspicious activities including white collar embezzlement, local drug dealers and Ponzi schemes 12 acams.org/aml-training-web-seminars
SEPTEMBER 1 FREE WEBINAR (APAC) 10:00 11:00 AM HKT APAC Regulatory Update: Upcoming FATF Mutual Evaluations, Ongoing Compliance Expectations and Other Requirements Level: All APAC regulatory developments and uncertainties remain a challenge for compliance professionals especially due to the unpredictability of what the future holds for the financial industry. In turn, changes need to be made to meet evolving regulatory expectations. This webinar previews what changes and impacts regarding recent trends, expectations and requirements may be in store for APAC compliance programs including upcoming FATF Mutual Evaluations in the Asia-Pacific region. The webinar will also review practical, proactive approaches for effectively managing these transitions, as well as negate future concerns. Risk Assessment Managers Compliance Officers FCC Professionals APAC Bank/Financial Sector MSB Preparing for the findings of FATF Mutual Evaluations in the APAC region including technical requirements of the assessment methodology Identifying new and ongoing regulatory initiatives, directives and trends to proactively develop coping, practical strategies Utilizing risk-based AML oversight to meet regulatory demands and support institutional business goals acams.org/aml-training-web-seminars 13
SEPTEMBER 6 12:00 2:00 PM ET The Dark Web: What is it, How to Leverage Information from Experts & Understand Exposure to Risk Level: Beginner - Intermediate The Dark Web, or Darknet, is the web beneath the web that allows anonymous communication. Human trafficking, stolen credits cards and data, pornography, techniques for cyber theft, guns and drugs can be all purchased or traded on the Dark Web for bitcoin and other cryptocurrencies. During this riveting webinar, Dark Web experts and cyber analysts will discuss what you need to know about this hidden and evolving criminal marketplace, as well as examples of how real, defensible due diligence is performed to discover whether or not funds are derived from proceeds of crime. Compliance Industries Personnel Technology Vendors Technology Officers Banking Investigators/Law Enforcement All Lines of Business North America Bank/Financial Sector Analyzing how the Dark Web is used by criminals looking to buy, sell and exchange illegal goods and services Reviewing proactive approaches used to monitor potential cyber threats and nefarious activities from predominate commodities Understanding how machine-learning is used to identify and trace historic and real-time flow 14 acams.org/aml-training-web-seminars
SEPTEMBER 13 12:00 2:00 PM ET A Guide to the Life Cycle of Suspicious Activity Reports (SARS) Level: Beginner - Intermediate What actually happens once a compliance professional has submitted a suspicious activity report (SAR)? A thoroughly completed SAR with a quality narrative and comprehensive analysis of the account activity is important for all parties involved in combating financial crimes including financial institutions, law enforcement agencies and regulators. During this webinar, former regulators and investigators will provide their perspectives on the entire SAR process once it leaves your institution, as well as practical tactics and techniques when filing a SAR that can identify patterns of potential criminal behavior or facilitate investigations into possible wrongdoing. Compliance Managers General Counsel FIU/FCC Personnel North America Bank MSB Securities Outlining analytic support, investigation and data collection practices by regulators and law enforcement to effectively support AML-related SAR filings Detailing tactics, techniques and requisite components to produce high quality and timely SARs Reviewing examples of SARs to identify best practices for determining when filing is warranted and justify non-filing decisions acams.org/aml-training-web-seminars 15
SEPTEMBER 20 12:00 2:00 PM ET Acing an Interview & Landing a Career in BSA/AML Compliance Level: Beginner - Intermediate Increasing fines, laws and regulations have made companies place an emphasis on hiring more compliance professionals than ever before. Compliance professionals are in demand to ensure financial institutions internal policies and procedures, applicable laws and regulations, meet regulatory requirements. Landing a career in compliance begins with having a targeted, focused approach to ensure success during your interview. During this webinar, our panelists will provide pointers and best practices including preparing for the most common interview questions, drafting a great resume to open the door, and researching the company s corporate and risk culture. AML/CTF Officers Banking Technology Specialists On-boarding and Relationship Managers Compliance Professionals Human Resources MSB North America Broker-dealers Bank Auditing Analyzing best practices for interview preparation including in-depth research of the company, review of the technical elements of the role, and rehearsal of answers to questions Reviewing the most commonly asked compliance interview questions and suggested answers Formulating questions to interview the interviewer and gather imperative information such as role expectations and technical compliance-centric questions 16 acams.org/aml-training-web-seminars
OCTOBER 4 12:00 2:00 PM ET Fortifying the Compliance Function to Combat Human Trafficking Level: Intermediate There are currently an estimated 21 million people trapped in some form of modern-day slavery. From domestic servitude, sex exploitation, forced marriage, people smuggling to child labor human trafficking remains a multibillion-dollar criminal enterprise. Compliance professionals have the opportunity to combat this inhuman practice through detection, reporting and identification of common typologies. During this webinar, experts in compliance and human trafficking provide practical insights and detailed best practices to enhance anti-money laundering efforts, help disrupt human trafficking networks and work toward shutting down this criminal activity. FIU/FCC Team Members Compliance Officers All Lines of Business North America Bank Implementing risk models and monitoring techniques to detect common trafficking red flags Successfully partnering with law enforcement agencies to improve employee training, data sharing and investigations Detailing investigation and data collection practices to effectively support human trafficking-related Suspicious Activity Report (SAR) filings] acams.org/aml-training-web-seminars 17
OCTOBER 18 12:00 2:00 PM ET Securities Spotlight: Combating Common Fraud, Insider and Manipulative Trading Schemes Level: Intermediate - Advanced Along with reporting large cash transactions, retaining records on wire-transfers and monitoring suspicious activities, there are many unique challenges for compliance professionals in the securities industry that require broker-dealers to stay current. Compliance failures can potentially lead to enforcement actions, expensive remedial measures and even prosecution. This webinar will provide up-to-date information on these schemes, best practices for identifying red flags, and practical steps to effectively communicate and share information between securities firms and banks. Compliance Managers Registered Representatives North America Securities Bank Implementing policies and procedures that account for unique red flags such as microcap securities or penny stock transactions Reviewing common securities fraud and AML typologies such as pump-and-dump schemes to strengthen monitoring systems Collaborating effectively with banks to trace the movement of illicit funds and recoup stolen money 18 acams.org/aml-training-web-seminars
OCTOBER 25 12:00 1:00 PM BST Cyber Attacks: Creating Action Plans to Prevent, Identify, Recover and Eliminate Threats Level: Intermediate - Advanced Cyber criminals keep finding new ways to compromise your institution s systems and networks. Criminal breaches are expensive and can result in financial losses, disruption to business and damage to reputation. As hackers prey on valuable, sensitive information, Compliance professionals must stay ahead of them and figure out techniques to mitigate these risks. During this webinar, technology, compliance and law enforcement professionals will offer insights to prevent, identify and recover from your institution s common and most unpredictable threats and attacks. Compliance Personnel Technology Officers Investigators/Law Enforcement FIU Members Third Party Practitioners North America Bank Raising awareness and training staff on cybercrime typologies to ensure suspected breaches are promptly escalated and investigated Creating a cybersecurity incident response infrastructure including plans, defined roles, communications and management oversight Implementing a recovery plan to correct systemic flaws and restore confidence in recovered systems and data acams.org/aml-training-web-seminars 19
NOVEMBER 8 12:00 2:00 PM ET Risk-Based Approaches: Onboarding MSBs and Issues for MSBs in Securing Banking Services Level: Intermediate - Advanced Establishing and maintaining relationships between banks and money service businesses (MSBs) remains a concern for compliance professionals who need to avoid conflicting with AML regulations. In order to provide financial services to MSBs, including cash ordering services, working capital lines of credit and back room processing expertise, banks need clear requirements for MSB onboarding and ongoing due diligence. Our panel brings together bankers and MSB operators to share their insights for collaborative approaches and risk-based practices that can improve, obtain and retain these partnerships. Compliance Personnel Industry Consultants Risk Managers MSB Managers On-boarding Managers North America MSBs Banking Negotiating terms of relationship management, including procedures for account monitoring for successful bank/msb relationships Developing KYC policies, auditing CDD processes and strengthening risk management systems to satisfy banker expectations Identifying business lines and services that foster better banking and MSB relationships 20 acams.org/aml-training-web-seminars
NOVEMBER 15 12:00 2:00 PM ET Bolstering Compliance Programs to Combat Proliferation Financing Level: Intermediate - Advanced Financial institutions throughout the world play an important role in combating weapons proliferation financing even as compliance professionals face challenges of finding new, effective ways of monitoring for proliferation finance. During this webinar, our experts will provide practical, effective and new tools to detect financing of proliferation of weapons of mass destruction, deny proliferators access to the formal financial system and disrupt related illicit activities. Financial Professionals of all levels Compliance Officers AML/CTF Specialists Risk Managers FIU/FCC Personnel Banks MSBs National or Federal Government Utilizing data sources and systems to detect individuals or entities listed under unilateral sanctions regimes for involvement in proliferation Screening and monitoring financial transactions to detect common patters or characteristics that match financing of proliferation typologies Learning the latest technology-based money laundering methods used for financing of proliferation of weapons of mass destruction acams.org/aml-training-web-seminars 21
NOVEMBER 17 FREE WEBINAR (Europe) 12:00 1:00 PM BST Gatekeepers in 2017: Roles and Responsibilities of Law Firms, Accountants and Advisors Level: All Following the revelations brought about with the release of the Panama Papers in May 2016 and the Bahamas papers in September 2016, considerable attention has been paid to gatekeepers and enablers. In this webinar, we will look at the regulation of the legal and accountancy sectors in Europe and the extent to which they are required to apply AML controls. This webinar will also review the steps taken by these sectors to address the criticism raised against them and the steps being taken by some countries to hold those who enable clients to evade tax, legally accountable. Chief Compliance Officers MLROs Financial Crime Compliance Personnel Government Regulators Real Estate Agents Lawyers/Accountants Europe Bank Obtaining a broad overview of the AML obligations of gatekeepers and enablers both in the UK and in other European countries Understanding how gatekeepers and enablers can facilitate financial crime and how to spot such activity Learning about the initiatives being undertaken to improve AML compliance in these fields and whether these measures will address areas where improvements are thought to be needed 22 acams.org/aml-training-web-seminars
DECEMBER 8 FREE WEBINAR (APAC) 10:00 11:00 AM HKT APAC Update: Lessons Learned From Recent High-Profile Bribery and Corruption Investigations Level: All A key component of an organization s compliance strategy is the implementation of a robust anti-bribery and corruption program. Due to record-high enforcement actions and recent high-profile investigations, it is imperative that compliance programs enhance current policies and procedures including performing due diligence, knowing your customer and implementing ongoing monitoring procedures. During this webinar, panelists will review lessons learned from recent high-profile investigations and provide practical guidance to address instances of bribery and corruption. Compliance Officers Relationship Managers Legal Advisors Asia-Pacific Bank Reviewing recent high profile APAC and global bribery and corruption investigations to discern practical AML lessons Leveraging internal control policies and procedures to support anti-bribery functions including using a client s past transaction monitoring data and alerts when updating an anti-corruption risk assessment Charting bribery and corruption typologies to spots and investigate transactional red flags acams.org/aml-training-web-seminars 23
DECEMBER 13 FREE WEBINAR 12:00 2:00 PM ET ACAMS Moneylaundering.com Year-End Compliance Review and 2018 Outlook Level: Intermediate - Advanced Keeping up with major enforcement actions, compliance trends and regulatory developments is always a challenge for compliance professionals. Join this panel of experts as they review and assess the most important developments in the United States and globally in 2017 as covered by ACAMS moneylaundering.com. In addition, in preparation for 2018, panelists will share what they think will be the most urgent issues facing the compliance community in the New Year. Compliance Officers Legal Advisors Trade Financing Specialists Financial Technology Professionals 24 acams.org/aml-training-web-seminars
DECEMBER 15 FREE WEBINAR (EUROPE) 12:00 PM 1:00 PM BST Diamonds are Forever: Financial Crime and the European Precious Metals and Stones Industry Level: All Due to characteristics including high value, portable, virtually untraceable and odourless commodities, precious metals and stones are often exposed to elevated levels of money laundering risks. Money launderers and terrorist financers are drawn to precious metals and stones especially diamonds since they are often highly valuable relative to their weight and also have a relatively stable price. During this informative webinar, our experts will explore initiatives undertaken by an organisation involved with one of the largest diamond dealer communities in Europe to raise awareness and bolster measures that can be taken to prevent the misuse of these products. Chief Compliance Officers Financial Crime Compliance Personnel Lawyers/Accountants Europe Bank Raising awareness about how precious metals and stones are used to launder proceeds of crime Analysing current typologies involving the use of precious metals and stones to move proceeds of crime and conceal its detection Understanding measures that European diamond dealers are taking to comply with AML regulatory requirements acams.org/aml-training-web-seminars 25
JULY DECEMBER 2017 Reach us at ACAMS World Headquarters: ACAMS Brickell City Tower 80 Southwest 8th Street, Ste. 2350 Miami, FL 33130 USA ONLINE: acams.org EMAIL: info@acams.org PHONE: +1 866.459.CAMS (Toll Free) +1 305.373.0020 (US and International)