BSA/AML - What is Old is New Again?

Duration: 90 Minutes
flat 40% off on this webinar use promo code
This webinar will provide attendees a clear understanding of the compliance department of the future. Attendees will learn the best practices to ensure BSA and AML compliance and avoid failure and fines.
BSA and AML Compliance
Instructor: Burke Files
Product ID: 508033
Objectives of the Presentation
  • A clear definition of Due Diligence from the man who wrote the book
  • Where new regulatory attention is being focused - very important
  • How to find your exposure to systemic risk and guaranteed fine
  • How compliance can be guaranteed to fail
  • The role of the compliance officer and team
  • New ways of laundering money
    • Art
    • Securities
  • Steps to avoid failure and fines
  • Getting up from your desk
  • Third party help
  • Writing the reports; SAR, internal, etc
Why Should you Attend
BSA and AML compliance is a must. Compliance is not only good for avoiding fines and sanctions, it is even better for the financial institution. BSA and AML compliance should be proactive in nature, very open about its activities and authentic to its mission to be as effective as possible. Part of that is getting back to the core of the process and seeing what has worked, what does not work and where to spot the changes that are occurring every day.

Both the compliance failures and the frauds all have common elements - the financial professionals were not up to speed on current law changes and best practices. This webinar will focus on current enforcement trends, systemic risks to compliance, a glimpse into the future and getting it right and writing it up.

Who will Benefit
  • Compliance Personnel
  • Risk Managers
  • Any branch or OSJ Manager
  • Lawyers - Not for law but on what is to be expected of Compliance Officers
  • Members of Audit Committee and Risk Committees
  • Securities Broker Dealers
$300
Recorded Session for one participant
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  $450.00 Training CD
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  $550.00 Training USB Flash Drive
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How it works
Live Session - How it works
  • Login to onlinecompliancepanel with your registered username and password https://www.onlinecompliancepanel.com/login
  • The webinar joining link, username and password for joining the webinar will be updated on your OCP Account 24 hours prior to the webinar
  • Presentation handouts in Downloadable PDF format will be updated on your OCP Account 24 hours prior to the live session
  • Login to the audio conference on the scheduled date and time
  • Get answers to your queries through interactive Q&A sessions via chat at the end of the session
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account 24 hours after the completion of the session
  • Please let us know your thoughts and views at the end of the webinar, your valuable feedback will help us improve
Recorded Session - How it works
  • Login to onlinecompliancepanel with your registered username and password https://www.onlinecompliancepanel.com/login
  • Upon purchase of the recorded session a link will be updated on your OCP Account within 24 hours
  • Please click on the link to access the Recorded Session
  • Presentation handouts in downloadable PDF format will be updated on your OCP Account within 24 hours of the purchase of the product
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account after 48 hours of the product Purchase
  • Please share your valuable Feedback at the end of the session
Instructor Profile:
Mr. Files is a widely recognized expert in the area of financial investigations and due diligence. He has authored numerous articles as well as books on the subject. He has been presenting and sharing his knowledge and has done so with delegates in over 30 countries.

As a financial industry insider, Mr. Files is keenly aware of the type and accuracy of the information required to make informed and timely decisions. Mr. Files has managed due diligence and financial investigations ranging in size from ten of thousands of dollars to over $20 billion. Mr. Files is an international expert on due diligence and is regularly sought out for the most difficult projects and cases. Mr. Files is at the forefront of both understanding and utilizing the new currency of due diligence.

Financial Examinations & Evaluations, Inc., founded by Mr. Files in 1991 has grown to be one of the most respected independent financial investigation firms. Mr. Files and his firm conduct investigations in the United States, Eastern Europe, Central and South America and China.

Before founding FE&E, Inc. Mr. Files was a partner in a regional consulting firm specializing in business, financial and securities consulting. He also served as the Director of Corporate Finance for an investment banking company. Additionally, Mr. Files was a commodities specialist for Oppenheimer/Rouse.

Mr. Files has written extensively and been quoted in many publications. Many times he is the quoted source for articles regarding financial investigation and due diligence. Among the publications in which he has been quoted are: Chief Executive Officer, Wall Street Journal, The Guardian, European Business, The Independent, and CBS news, The Financial Times, New York Post, Wall Street Journal and more.
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