"ComplianceOnline Banking Summit 2017 | Risk Management and Data Security" - Summit attendees are eligible for 16.3 CPE credits upon completion of training.We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200, www.learningmarket.org, e-mail firstname.lastname@example.org.
Banking and financial services play a vital role in today’s globalized economy. Banking industry is the most heavily regulated and the regulators are demanding a far greater level of insight and awareness about the risks banks manage, and the effectiveness of the controls they have in place to reduce or mitigate these risks. This banking summit will discuss numerous banking regulations and will feature key topics including risk innovation, modelling and simulation.
Banking industry is more often the target for cybercrimes including financial fraud, identity theft, data manipulation, and persistent hacking attacks on payment systems and other critical information systems and communication channels. This BFSI summit brings together banking security professionals, regulators, banking specialists, risk managers, asset managers and supervisors to debate the threats to data security to the global financial services industry.
The panel discussions, debates, workshops and exhibitions will also throw light on the direction the industry will take in the future – making it all the more important for today’s banking professionals to actively take part in this Summit.
ComplianceOnline Banking Summit 2016 | Risk Management and Data Security will include the following:
Leading experts and data scientists working in banking and financial services give their view of the current issues and future challenges in the industry. This banking summit allows participants to discuss and evaluate key challenges, trends and opportunities in the banking industry.
Expert-led workshops that will help those banking professionals starting out in their careers and even more senior professionals who need to brush up on new technologies, regulations, processes and more.
Panels comprising of some of the well-known banking specialists and senior finance professionals will discuss and debate the hottest issues that are affecting the industry. Attendees will be able to interact with panel members during these debates and get unparalleled insight into the state of the industry.
This banking summit is the leading platform to know about the latest trends in banking innovation, discuss global best practices and network with key industry influencers and decision makers to exchange ideas, discuss business opportunities and share strategies in focused, small groups.
The Summit will have event tracks dedicated to topics affecting each division/segment of the banking industry.
A unique opportunity for banks and other financial institutions both big and small to market their offerings and identify new business opportunities.
Attendees will get access to community that ensures they can continue to build on the networking opportunities and interest that began during the event.
Field of Study:
- Behavioral Ethics: 0.8 CPE Credits
- Business Law: 0.9 CPE Credits
- Business Management & Organization: 4 CPE Credits
- Finance: 0.8 CPE Credits
- Management Advisory Services: 2 CPE Credits
- Regulatory Ethics: 2.4 CPE Credits
- Specialized Knowledge and Applications: 5.4 CPE Credits
Program Delivery Method: Group-Live
Program Level: Basic
Advance Preparation/Program Prerequisites: None
Registrations and Networking Breakfast
Welcome Speech with an Introduction of ComplianceOnline & Summit
2017 Banking Outlook - Emerging Industry Changes and Its Impact on Bank Strategies - Keynote SpeechSteve Nasalroad, CAMS, Head of Internal Audit, Trust Company of America
Risk Governance & The Board of Directors’ Role in It - Keynote SpeechAdam Kerns, Assistant General Counsel, American Insurance Association
This session will offer a comprehensive review of the corporate governance standards applicable to insurance companies and the board of directors’ role in those standards. Specific state laws affecting these standards include the Insurance Holding Company System Regulatory Act, the Own Risk and Solvency Assessment Act, the Corporate Governance Annual Disclosure Act, and the Model Audit Rule. The session will highlight provisions from each of the above areas of law that directly affect the board of directors’ role.
Integrated GRC in Banks and Financial Services Companies - Panel DiscussionMichael C Redmond, Lead Strategic Consultant, EFPR Group LLP (Moderator)
Steve Nasalroad, CAMS, Head of Internal Audit, Trust Company of America
Eric Parker, Director, KPMG
Shaun Miller, Director, Veritas Fincrime Consulting
Peter Whyntie BEc, Dip CM, FGIA, FCIS, ICCP Fellow, GAICD, Director & Principal Consultant, Peter Whyntie & Associates
Social Engineering & Payments FraudPeter Goldmann, MSc., CFE, CFCI President, FraudAware LLC
Banks continue to fight against old and new forms of payments fraud--from check counterfeiting and forgery to ACH fraud, credit card, P-card and wire transfer fraud. New schemes to circumvent bank payments controls are being deployed on a constant basis. Learn how to get a step ahead of the payments fraudsters from both inside and outside the organization.
Perceptions and Reality of Panama Papers and AML InvestigationsArmen Khachadourian President, Digital Payments Inc
Recognizing and investigating suspicious activities is the key in safeguarding an organization’s financial system from illicit use and combating money laundering. It would be prudent to ensure having an effective AML compliance program which is tailor-made for the key risk factors within an organization. Reports published in the Panama Papers on the secretive industry that banks and lawyers use has increased scrutiny which resulted in a recent spike in the number of companies getting exposed, fined for sanctions breaches. This clearly indicates the need for banks to re-evaluate their existing compliance programs to ensure that they provide maximum protection from increased regulatory scrutiny and serious risk.
Understanding and Avoiding the Curse of Mortgage Fraud - Hot Legal IssuesPeter Goldmann, MSc., CFE, CFCI President, FraudAware LLC
Mortgage fraud was a major driver of the financial crisis of 2008. Unfortunately, eight years later, mortgage fraud continues to plague banks, borrowers, brokers and regulators. This discussion will address some of the CURRENT mortgage schemes targeting lenders and look at the legal and regulatory issues that have arisen in recent years to protect all parties in the mortgage lending market.
Compliance & Data Breach - From Evolution to The Risk and Why Security MattersMarc PerlPresident and Founder, Teknowlogy Associates
Today’s data security standards do not guarantee a breach free operation, but compliance with one of the top standards certainly reduces the chances of a breach significantly. We will discuss the current status of data security compliance standards. Your organization should plan for the actions that will be taken when, not if, the breach occurs. We’ll present a framework for securing your organizations’ important assets.
Emerging AML/BSA Threats - Recent Developments to TackleDavid M. Long, JD, CFE Associate Professor of Criminal Justice and Legal Studies, Brandman University
To the layperson, money laundering might be viewed as a so-called “victimless” crime, or, at least one that does not typically impact the average person. However, AML and fraud prevention professionals understand that the money laundering threat is real and the potential exists for it to cause enormous economic harm to the average person. Several key areas, namely real estate and emerging technologies, are receiving the attention of AML/BSA regulators and others in the field. This discussion will touch on recent efforts by regulators and other professionals to defend against money laundering threats in these industries.
Block Chain as a Risk Management / Data Security Emerging Technological Approach with Respect to KYC and TransactionsShaun Miller Director, Veritas Fincrime Consulting
A block chain is a transaction database shared by all nodes participating in a system based on the Bitcoin protocol. This session describes the bitcoin concept and what Blockchain is as well as its Financial applications to creating secure KYC and payment data sets. This session explains a blockchain concept where the blockchain itself is a shared single source of truth. Financial institutions, consultancies are getting onboard with this new ledger technological approach. This new approach is at the forefront of its development and we are discovering its unknown potential.
Identity Theft and Identity Fraud: Latest Challenges for Banks and How to Mitigate Risk - Panel DiscussionPeter Goldmann, MSc., CFE, CFCI, President, FraudAware LLC (Moderator)
Michael C. Redmond PhD, ISO CyberCertifications, PMP, MBA, Lead Strategic Consultant, EFPR Group LLP
Marc Perl, President and Founder, Teknowlogy Associates
David M. Long, JD, CFE, Associate Professor of Criminal Justice and Legal Studies, Brandman University
Armen Khachadourian, President, Digital Payments Inc
Identity theft and identity fraud are among the top threats to bank operations. Not just from a data security point of view, but also from the perspective of financial loss, legal liability and customer disenranchisement. This discussion will focus on latest threat to bank customer privacy and identity and highlight some of the newest best practices in self defense.
Closing Mark - Next Day Plan
Registrations and Networking Breakfast
Payment Risks and Securing the Payment Franchisee - The Future of Secure Payments - Keynote SpeechJanardhan Cadambi, Chief Franchise Development Officer, MasterCard
Managing Vendor Risk Through Contracts and Due DiligenceKaren L. Garrett, Partner, Stinson Leonard Street LLP
Rayleen M. Pirnie, AAP, CEO, RP Payments Risk Consulting Services
Financial institutions inherently take on additional risk when they outsource services. This session focuses on reducing common risks by evaluating appropriate due diligence strategies and contract provisions. Attendees will receive valuable takeaways and action items.
DFS Cyber RequirementsMichael C. Redmond PhD, ISO CyberCertifications, PMP, MBA, Lead Strategic Consultant, EFPR Group LLP
(DFS) Department of Financial Services Cyber Regulation for NYS Financial Services and Insurance Companies, according to Governor Andrew M. Cuomo, are “first-in-the-nation" regulations” designed to protect New York State from the ever-growing threat of cyber-attacks. They “requires banks, insurance companies, and other financial services institutions regulated by the State Department of Financial Services to establish and maintain a Cybersecurity program designed to protect consumers and ensure the safety and soundness of New York State’s financial services industry.” Learn what is required to be compliant and how to implement the Regulation.
Key Risk and Compliance Considerations for Financial Services FirmsEric Parker, Director at KPMG
Cyber Security Risk Landscape - Panel DiscussionRayleen M. Pirnie, AAP, CEO, RP Payments Risk Consulting Services (Moderator)
Michael C. Redmond PhD, ISO CyberCertifications, PMP, MBA, Lead Strategic Consultant, EFPR Group LLP
Adam Kerns, Assistant General Counsel, American Insurance Association
Mario Mosse, President, MMosse Consulting, LLC
Shaun Miller, Director, Veritas Fincrime Consulting
High Level Overview of How to Use Big Data for an AML/ AB&C Compliance OverviewShaun Miller Director, Veritas Fincrime Consulting
High level overview of how to use Big Data for an AML/ AB&C Compliance overview. The aim of this session is to describe to structure of a compliance review and the usage of information informing upon this review. The session will explain qualitative and quantitative information types used in such a review. The information follows a journey of initially being in an unstructured format, becoming structured, subjected to data quality review, sampling and subsequent forensic analysis. This analysis influencing strategic decision management capabilities in terms of risk mitigation.
Effective Regulatory Change Management Process for BanksMario Mosse President, MMosse Consulting, LLC
Regulatory change management needs to be supported by a well-designed and properly implemented process that ensures legislative and regulatory changes impacting your bank, are captured, analyzed and, where applicable, embedded into company policies and procedures. Banks that do not have adequate processes in place to monitor regulatory change, determine impact on business processes, prioritize, and make changes to policies and procedures may suffer significant consequences. An effective and efficient workflow needs to be in place so that organizations are not overwhelmed by data obtained through legal and regulatory subscription services, websites, e-mails, and content aggregators.
Taking Control of Account Takeover - Panel DiscussionRayleen M. Pirnie, AAP, CEO, RP Payments Risk Consulting Services
Mark Hargrave, Partner, Stinson Leonard Street LLP
Doug Johnson, Senior Vice President and Chief Advisor, Payments and Cybersecurity Policy, American Bankers Association (ABA)
Panelists tackle one of the most challenging and pervasive financial frauds, Account Takeover. This interactive session provides attendees with a unique opportunity to pose their operational, strategic risk management and legal questions to industry experts who will provide valuable insight and strong risk management strategies to help attendees succeed in their fight.
Vote of Thanks & Participatory Certificates Distribution
Steve Nasalroad is the head of Internal Audit at Trust Company of America and is responsible for ensuring effective monitoring and oversight of the company’s financial, operational, regulatory, and technology-based controls, while identifying opportunities to strengthen operational efficiency and productivity. He directs multiple teams of internal auditors as part of the annual audit plan, and provides regular reports to the Audit Committee / Board of Directors on the progress, he also ensures reports of examination and internal audits are communicated appropriately and addressed.
With more than 23 years of combined experience in the financial service industry; specializing in banking, securities and money service business with a focus in compliance management. The last 20 years in the field of fraud prevention, money laundering, risk management and detailed experience in regulatory compliance of the Bank Secrecy Act, Security and Exchange Commission, FDIC, NASD, UDAAP, RICO and ethics compliance. Prior to joining Trust Company of America in April 2015, Nasalroad was the Vice President of North America with Western Union’s Global Anti-Money Laundering (AML) Compliance Department. His expertise in developing AML/BSA program for Money Services Business (MSB) Agents, auditing Agents for AML/BSA compliance, execution of Federal and State seizure warrants, Title 31 Examinations, and adherence to regulatory obligations for approximately 80,000 locations in the US and Canada. He gained familiarly with laws and regulations Western Union conducted business – with targeted expertise of FinCEN, FINTRAC, OFAC (Government Sanctions), European Union, Central Bank of Ireland, IRS and various state laws and regulations.
While at Janus Capital Management, Nasalroad worked for nine years in a management role within the transfer agency dealing primarily with operational compliance issues. He was a member of several ICI industry working groups, which developed and defined new regulations for securities dealers after the September 11th terrorist attacks.
Nasalroad is a charter member of the Association of Certified Anti-Money Laundering Specialist, and was CAMS certified in 2003. He served as a member of the working group that wrote questions and provided input into the Certified Anti-Money Laundering Specialists (ACAMS) exam. Nasalroad is a frequent industry speaker on fraud prevention, money laundering and the topic of risk management. He also worked with the U.S. Treasury Department in development and interpretation of USA PATRIOT Act regulations for the securities dealers. In 2012, he spoke at the EU-US Counter Terrorist Finance Workshop in Denmark co-hosted by the US State Department and speaks at national conferences in the US regularly.
Nasalroad is a native of Colorado born in Grand Junction. He earned his Bachelor’s degree from Mesa State University with a double emphasis in Business and Computer Information Systems. After graduation, he moved to Denver where he has now lived for the last 25 years. He is married to Lory and they have two boys Jacob & Zachary ages 15 and 11.
Adam E. Kerns joined the American Insurance Association in 2012 as an Assistant General Counsel in the Law Department and is based in the Washington, D.C. office. He concentrates on state, federal, and international financial regulatory initiatives. His current areas of responsibility include group supervision, group capital, corporate governance, technological innovation and regulation, solvency, and climate change.
Mr. Janardhan leads efforts to evolve the Franchise Development function with a particular focus on enabling the rapid expansion and diversification of MasterCard. Previously, Mr. Janardhan was with Standard Chartered Bank and Citigroup leading strategy, product development, innovation and process governance.
Eric is a director in KPMG’s Risk Consulting practice with more than 17 years of ERM/GRC, IT advisory and audit experience. Eric has led and coordinated engagements across several industries, with a focus on the financial services, energy and industrial manufacturing sectors. He has served as project manager with responsibility for planning, budgeting, execution, and delivery of engagements including: GRC vendor selection, business requirements development and user acceptance testing; ERM program assessments and internal audits; enterprise risk assessments; IT control implementations and remediation programs; IT control monitoring strategy implementation; and Sarbanes-Oxley 404 testing of IT systems.
Shaun has an ICA Diploma in International AML and is ACAMS certified. He has recently presented Risk Based Approach to AML and CFT presentations in the Middle East. He has an in-depth knowledge of financial crime technologies, Shaun has international experience working in AML Remediation projects, external Audit, Financial Crime projects in Global Banking. He has delivered AML/ CFT training and has implemented Suspicious Activity Reporting procedures in Ireland, UK and Sweden. Shaun was a key player in Audit/Sanctions / PEP assessment projects in Tier 1 Banks in New York, UK, Hong Kong and Ireland
Mario Mosse has over 40 years of experience in operational risk management, internal audit and regulatory compliance at financial services companies. He is the president of MMosse Consulting, LLC, where he provides risk management advice and training to the financial services industry. Previously, he was the head of Operational Risk Management at Prudential Financial, Inc. Prior to joining Prudential, Mosse was with The Chase Manhattan Bank, where he held several senior positions in Internal Audit and Risk Management.
Marc Perl brings over 30 years of diverse professional experience to Teknowlogy Associates including risk management, payments processing, data security, product development, software development and software quality assurance. During 20 years at Visa, he was a key member of Visa’s Risk Management team, where he developed and managed the compliance program for the Payment Card Industry Data Security Standard (PCI DSS) as part of the Cardholder Information Security Program (CISP). Marc holds a BA from California State University at Northridge.
Armen Khachadourian is the founder and president of Digital Payments Inc, a consulting firm providing advisory services in the areas of merchant processing, ISO/MSP formation, merchant portfolio and acquiring acquisitions, prepaid and alternative payment products including decoupled debit. As a trusted partner with vision to understand his client’s future business he has helped design and evaluate several new products and services in today's changing marketplace, such as: development of connectivity products for payment cards; digitization of electronic benefit transfer and means tested programs; merchant card acceptance and capital funding solutions; cross border money transfer and bill payment services; BSA/AML best practices and guidelines; and, alternative payment products and services, prepaid and gift.
Mr. Khachadourian has also served in executive positions at several top ten financial institutions and helped them maximize growth and revenues in today’s challenging electronic payments marketplace. As a vice president of JPMorgan Chase’s Prepaid Product in Treasury Services, he was responsible for designing and launching prepaid cards in the EU market. As a senior vice president at Visa USA, he expanded card acceptance to new markets such as supermarkets, recurring payments, quick service restaurants and federal government agencies. His expertise in card products extends to issuance of credit, debit, prepaid and commercial cards.
Mr. Khachadourian earned a bachelor’s degree in mathematics and a master’s degree in computer science from the San Jose State University in California. He authored the “Basics of Data Communications” textbook and lectured at College of San Mateo, CA. He was awarded an honorary teaching credential by the State of California. Mr. Khachadourian is a member of the United States National Masters team; he has represented United States at four world championships. He is an accomplished marathon runner and tri-athlete, having completed in seven Ironman competitions.
Peter Goldman has 25 years of experience as a business journalist and trainer, having launched, edited and published numerous business trade periodicals covering small business, international trade, management strategy, banking and personal finance. Mr. Goldman is a Certified Fraud Examiner (CFE) and a member of the Editorial Advisory Committee of the Association of Certified Fraud Examiners (ACFE) as well as an active member of the Institute of Internal Auditors, the High-Tech Crime Investigation Association and the IOFM Controller Certification Advisory Board. He is a regular columnist for the ACFE’s newsletter, The Fraud Examiner and is a frequent contributor to other leading industry publications on anti-fraud topics. He has appeared on Fox Business News, The Wall Street Journal This Morning, The New York Times and Internal Auditor magazine.
He is president of White-Collar Crime 101 LLC, the publisher of White-Collar Crime Fighter, a widely read monthly newsletter for internal auditors, controllers, corporate counsel, financial operations managers and fraud investigators. He is the author of Fraud in the Markets: Why it Happens and How to Fight It, published by John Wiley & Sons, as well as four other anti-fraud books. He also developed FraudAware, a leading fraud awareness training program.
Michael C. Redmond is Lead Strategic Consultant, IT Consulting, EFPR Group. www.efprgroup.com She consults and audits in the areas of Cyber/Information Security,, Organizational Resilience, Business Continuity, Disaster Recovery, High Availability, HIPAA and ISO. Some of her past clients include Fidelity, JP Morgan Chase, Emblem Health. Excellus Blue Cross, and many more.
Michael is certified as a Lead Implementer in ISO/IEC 27001 Information Security Management, ISO/IEC 27032 Lead Cyber Security Manger, ISO/IEC 27035 Security Incident Response, ISO/IEC 22301 Business Continuity Management Systems, ISO/IEC 21500 Lead Project Manager and ISO/IEC 41001 Environmental Management. She is an ISO Certified Auditor for ISO 27001. She is a Certified Project Manager, Certified Emergency Manager, and holds two International Master Level Certifications in Business Continuity.
Ms. Michael C. Redmond, MBCP, FBCI, CEM, MBA, PhD is the Program Director for Eastern Great Lakes Association of Continuity Professionals Chapter. The association is made of members from Information/Cyber Security, Compliance, Crisis Management, Business Continuity, Disaster Recovery, and Emergency Management. She serves on the ISSA Western NY planning committee for their annual conference. Michael is one of three people on the International Ethics Committee for certification body Professional Evaluation and Certification Board (PECB) for ISO.
Her past experience includes consecutively total of 13 years as a Sr. Manager with Deloitte, KPMG and Chubb and 12 years with Redmond Worldwide in the areas of: Information/Cyber Security, Compliance, Crisis Management, Business Continuity, Disaster Recovery, Emergency Management, Internal Audit/ Gap Analysis. Prior to her consulting career, she was a Business Continuity/Disaster Recovery Manager with Bank of New York. After completing her MBA at Fordham University, Michael graduated from the American Institute of Banking.
Michael was selected for 2016 Women of Distinction for her contribution in Information/Cyber Security. Michael is in Who’s Who among Executives and Professionals and is in the Academic and Professional National Honor Society for Continuity Planners, “Order of the Sword & Shield”. She spent 4 years on Active Duty with the Army and 18 1/2 years National Guard and Reserve before retiring as a Major. She is a Graduate of Command & General Staff College (Fort Leavenworth), attended Civil Affairs Courses – US Army JFK School of Special Warfare and is Hazmat Trained, DOD Certified. She has been an Adjunct Professor for University of Maryland, Mercy College, New York University and John Jay Graduate School, where she taught Cyber/Information Security, Business Continuity, Disaster Recovery and Emergency Management.
Peter is a highly experienced governance, risk management and compliance specialist. He consults to government and private sector clients across a range of industry sectors.
Peter's guiding principle is "helping organisations achieve their goals safely".
His experience as a consultant, regulator, director and executive spans over 33 years. Following his retirement as a partner of KPMG he has been an independent consultant in governance, risk management and compliance.
He has also held senior positions in strategic planning, marketing and product development, giving him the advantage of being able to advise from a business perspective.
Peter was recently engaged by ASIC to provide an Expert's Report in respect to a high profile matter that contributed to a settlement being reached and the entering into of an Enforceable Undertaking along with a number of other agreed actions. That has given him a deep appreciation of what an organization needs to have in place for its enterprise risk and compliance framework to be considered as being effective.
Peter is actively involved in the Not for Profit sector in which he has a passionate interest.
Active in industry associations throughout his career, Peter has had a long involvement with the Governance Institute of Australia where he is a member of the Corporate & Legal Issues Committee. He is also Course Director of the Advanced Risk Management subject of the Institute's Graduate Diploma of Applied Risk Management and Corporate Governance.
Peter maintains a high profile as a regular presenter on compliance and risk management at industry seminars both in Australia and overseas. He has contributed a number of articles to industry journals. He has recently been published as author of a chapter "The Role of the Board of Directors in Risk Management" in the volume Enterprise Risk Management - A Common Framework for the Entire Organisation (Butterworth-Heinemann, 2015. ISBN:978-0-12-800633-7)
Doug Johnson leads the American Bankers Association’s enterprise risk, physical and cyber security, business continuity and resiliency policy and fraud deterrence efforts. He is the Association's primary spokesman on bank technology and security and is a leader on the financial services team that applied and is now in the process of deploying the .bank and .insurance top level Internet domains.
Doug currently serves as Vice Chairman of the Financial Services Sector Coordinating Council, which advises the federal bank regulatory agencies on cybersecurity, homeland security and critical infrastructure protection issues. He is also a board member of the Financial Services Information Sharing and Analysis Center, a private corporation that works with government to provide the financial sector with cyber and physical threat and vulnerability information, as part of the nation’s homeland security efforts.
KAREN GARRETT, a frequent speaker, is a partner at Stinson Leonard Street LLP and Co-Chair of Stinson’s Banking and Financial Services division, and Stinson's FinTech practice group. She advises financial services businesses on payments, third party risk management, regulatory and operations matters, product development, compliance, M&A and other legal issues. Karen represents financial companies in connection with licensing applications and enforcement orders. She has provided legal support for cash management services, electronic transfer transactions, online services, mobile banking, prepaid, debit and credit cards and alternative lending and payments products. Karen is a graduate of the Northwestern University School of Law.
Rayleen is the founder and owner of RP Payments Risk Consulting Services, LLC. based in Missouri. She is a nationally recognized payments risk and fraud expert who offers specialized consulting services, procedural and risk management reviews, and payments education. Rayleen’s specialized skill is delving into the world beyond the payment rules; areas where organizations often find themselves in positions of liability or loss with little to no clear guidance. She is an Accredited ACH Professional (AAP) who has worked with all payment systems for nearly 20 years. Rayleen also holds a Bachelor’s of Science in Criminal Justice Administration.
Rayleen’s educational programs provide real-world, actionable information for financial institutions and businesses on topics ranging from payments risk management to information security. She authors payments risk and fraud blogs geared toward helping organizations recognize threats and protect themselves from loss.
David M. Long, JD, CFE is an Associate Professor of Criminal Justice and Legal Studies at Brandman University. An experienced criminal investigator and attorney, he is principal of NCFPS-Virtual Currency Seminars and NCFPS-Digital Currency AML Consultants (NCFPS), a California-based anti-money laundering and fraud prevention consultancy specializing in addressing the specific anti-money laundering compliance and fraud prevention challenges facing companies operating in the virtual currency environment. During Long’s nearly decade of government service as a Special Agent with the federal Office of Labor Racketeering, he investigated cases pertaining to the influence of organized crime in labor unions. Many of his cases were complex financial investigations involving money laundering violations, the Racketeer Influenced and Corrupt Organizations (RICO) Act, public corruption, extortion, bribery and witness tampering. Long served with distinction as a Special Agent and received several awards for meritorious service.
A noted speaker and presenter, Long frequently speaks and presents on money laundering issues in both the virtual currency and more traditional money laundering realms. He received his J.D. from the University of Pennsylvania Law School and is a former law clerk to the late Honorable Clifford Scott Green of the U.S. District Court, Eastern District of Pennsylvania in Philadelphia, PA. He received his B.A. (Magna Cum Laude, Phi Beta Kappa) from Howard University. He is a member of the Georgia Bar.
Mark Hargrave, a partner of the firm's Banking & Financial Services Division, focuses his practice on financial and commercial law matters. He places special emphasis on issues involving payment systems, secured lending and regulatory compliance. Mark frequently speaks on these topics at regional and national programs, and he has authored several topic-related books.
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Situated on the East River between Manhattan and Queens, Roosevelt Island is best known for its hospitals and asylums that have been here since the 1800s. The island can be reached by an aerial tram.
St. Patrick's Cathedral
Completed in 1900, this neo-Gothic masterpiece is the country's largest roman catholic cathedral. It is located at Fifth Avenue near Rockefeller Center, now a posh area but at the time of construction well out of the city center.
Times Square, the most bustling square of New York is known for its many Broadway theatres, cinemas and electronic billboards. It is one of those places that make New York a city that never sleeps.
Washington square park, located in Greenwich village, was created in 1826. The main attraction of the park is the Washington Arch, constructed for the centennial of President Washington's inauguration.
Frequently Asked Questions:I have two discounts I would like to use for my summit registration; can I use both of them?
No, we do not combine discounts but we will honor the discount that is better for you.
Are the meals included?
Yes, all refreshments and summit lunches have been carefully selected to offer you the best in banqueting. Please check the agenda for timings.
How many attendees will be at my summit?
This varies for each summit. Please do ask at our registration desk if you would like us to assist in facilitating meetings with anyone present to ensure you receive maximum benefit from the day.
How can I get to the venue?
For information on the venue or travelling details to the summit check the “venue” section on the website or contact us if you require further information.
What about accommodation?
The cost of the hotel accommodation and travel is not included in the registration fee. To take advantage of our corporate accommodation rate, after completing the registration, please state you are attending ComplianceOnline Banking Summit when making your hotel room reservation. Please note that special discounted hotel rooms are limited and available on a first-come, first-serve basis.
What should I wear?
Speakers and delegates normally wear formal business attire whilst attending the summit.
In case of special needs?
If you have any special needs, disabilities, and/or dietary requirements please do let us know when you register for the event.
Do I have to pre-select the streams that I want to attend in a multiple stream summit?
Yes, for planning reasons we will need to know who is attending which stream.
When should I pay for the summit?
Payment must be received prior to the summit. To get the early bird price offer, please visit the “Price/Register” section of website.
How should I pay for the summit?
The simplest method of payment is via credit card using our secure online bookings. If you wish to book offline, we require written authorization along with credit card details by e-mail to firstname.lastname@example.org. You can also send your PO with summit name and location by fax to +1-650-565-8542. We accept Visa, MasterCard, Maestro and American Express. Pay your check to (payee name) "MetricStream Inc" our parent company and mail the check to: ComplianceOnline (MetricStream, Inc), 2479 East Bayshore Road, Suite 200, Palo Alto, CA 94303.
If you have any questions concerning payment please feel free to contact our customer service team on +1-888-717-2436.
How can I get a receipt for my credit card payment?
There are two ways you can receive a receipt for your credit card payment:
- Unless otherwise requested, or if payment is made close to the event date, we will e-mail you your receipt.
- We are happy to fax a copy of the receipt for your records until you receive the original. You will need to advise our customer service team which option is preferable.
Yes, if you know before booking that you cannot attend the summit, you can purchase materials used at the summit.
When will I receive my summit material?
Depending on whether you are a delegate or a document purchaser, you will receive your summit material at different times:
Delegates: Your badge and delegate pack will be available for collection at registration on the first morning of the summit.
Document Purchaser: Providing that payment has been received documents will be sent out two weeks after the event date.
Online Document Purchasers: Soft copy will be sent out to you via email two weeks after the event.
Can I receive a copy of the presentations?
Yes. All attendees will get a copy of the presentations after the summit. The distribution of presentation materials is subject to the speakers’ permission. If you are unable to attend the event, it is also possible to purchase a CD-ROM that contains presentations from the summit. For more details email us at email@example.com.
What happens if I have to cancel?
- Cancellations may be made by phone but must be confirmed in writing within a month of the event, please see the event brochure for individual cut off dates.
- Please quote the order number and delegate name when cancelling.
- Cancellations must be received in writing. Cancellations received more than one month prior to the summit are subject to a $200 administration charge.
- Cancellations within 30 days of event date: In the event of cancellation 100% of the event fee is payable and non-refundable. All cancellation requests must be submitted to us in writing. If we agree to your cancellation then all cancellation fees are payable immediately after the acceptance of your cancellation in writing by us.
What happens if the event is postponed or cancelled?
In the event that ComplianceOnline postpones or cancels an event, delegate payments at the date of cancellation/ postponement can either be credited to a future ComplianceOnline event or refunded. This credit will be available for up to one year from the date of issuance. If the delegate is unable to attend the rescheduled event, the delegate is welcome to send a substitute delegate, free of charge, or will receive a credit representing payments made towards a future ComplianceOnline event.
Can I substitute a delegate?
Yes, substitution of a delegate is free of charge - we need full registration details before the summit in order to substitute a delegate. For more information on the details feel free to contact our customer service team on +1-888-717-2436.
Can I register at the summit venue?
Yes, you may register for summit on site and our registration personnel will be happy to help you. But we would suggest that you register as soon as possible as seats are limited.
ComplianceOnline is not responsible for any loss or damage as a result of a substitution, alteration, cancellation, or postponement of an event. ComplianceOnline shall assume no liability whatsoever if this event is altered, rescheduled, postponed or cancelled due to a fortuitous event, unforeseen occurrence or any other event that renders performance of this summit inadvisable, illegal, impracticable or impossible. For purposes of this clause, a fortuitous event shall include, but shall not be limited to: an act of God; governmental restrictions and/or regulations; war or apparent act of war; terrorism or apparent act of terrorism; disaster; civil disorder, disturbance, and/or riots; curtailment, suspension, and/or restriction on transportation facilities/means of transportation; or any other emergency.
Please note that speakers and topics were confirmed at the time of publishing, however, circumstances beyond the control of the organizers may necessitate substitutions, alterations or cancellations of the speakers and/or topics. As such, ComplianceOnline reserves the right to alter or modify the advertised speakers and/or topics if necessary. Any speaker or schedule substitutions or alterations will be updated on our webpage as soon as possible.
Will I receive any information from you via mail?
After the summit, from time to time, you may receive updates on related upcoming seminars, webinars and summits.
Will I receive any e-mails from you?
If you have opted-in to e-mail communication with ComplianceOnline you will receive related market information and advanced notification of related events.
Will my contact details be shared with third parties?
No, ComplianceOnline does not give out your contact details to third parties. From time to time, you may receive information on relevant or related areas from one of our divisions.
How do I prevent SPAM filters from blocking my alerts?
Internet Service Providers (ISPs) utilize various methods to prevent unsolicited commercial e-mail (junk mail or spam) from being delivered to users' mailboxes. Some of these methods may mistakenly classify ComplianceOnline Banking Summit emails as such and not deliver the alert to the recipient. Each ISP has different set of steps to follow to assure these alerts get delivered directly to the users' mailboxes. Typically the sender's domain name must be added to an address book or 'safe list'. To assure you receive ComplianceOnline Banking Summit alerts via e-mail, please add www.complianceonline.com to your address book or safe list. If you still have trouble, please contact the helpdesk via e-mail at firstname.lastname@example.org.
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