2019 BSA/AML Compliance Management Agenda

March 28 & 29, 2019,
Renaissance Long Beach Hotel

​AGENDA TOPICS
 
DAY ONE
 
Introduction
 
Managing a BSA Program

• Overview
• BSA/AML Responsibilities
• Key Ingredients to BSA Management
• Reports & Ticklers
• The Five E’s of BSA Management
  • Effectiveness
  • Efficiency
  • Ethics
  • Examinations
  • Escalation
• Culture of BSA/AML Compliance
• Systems to Identify and Report Suspicious Activity

 
Regulatory Changes

• New Rules and their effect on BSA
• CDD Final Rule

Developing a BSA Program

• Formalizing a BSA Program
• Building a BSA Policy

DAY TWO
 
An FDIC Examiner’s Perspective

• What we’re seeing in our exams …

• Risk Assessments
• Evaluating a BSA Program
• Independent Testing
• Enhanced Due Diligence

• Some hot topics:

• Managing Money Service Business (MSB) Relationships
• Marijuana Related Businesses (MRBs)
• New Beneficial Ownership Rule from FinCEN
• M&A Activity

 
Filings SARs

• General Guidance – New SAR Form Instructions
• Elder Abuse
• Marijuana Businesses

 
Roundtable Discussion

• Enlisting Support
• Integrating BSA into the Organizational Culture
• Rolling Out a New Program or Procedure
• Presenting to the Board
• Regulatory Change Management Best Practices

 
Case Studies and Discussions

• Recurring errors in CTRs
• Recurring errors in SARs
  • Real life scenarios and case studies for discussion (when the correct answer is not always obvious)

 

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