Join Kelley Drye on November 14, 2018 for a seminar on anti-money laundering and data privacy.

To register please click here.
 

Anti-Money Laundering

Regulators continue to actively examine compliance, introduce new and heightened requirements, recalibrate global priorities, and aggressively pursue enforcement of regulations. Don’t miss this engaging seminar focused on Anti-money laundering, discussing the latest major money laundering cases. This seminar provides a provocative, frank and practical discussion about AML regulation in your world.
 
Moderator:
Paul McCurdy: Partner and Chair of Kelley Drye & Warren LLP’s Broker Dealer Practice

Presenters: 

Troy Paredes: Former Commissioner of the U.S. Securities & Exchange Commission; Founder of Paredes Strategies LLC

Sarah Green: Former Senior Director in the Enforcement Division at FINRA

Donald Anspacher: FBI Special Agent, New York

Matthew Luzadder: Partner at Kelley Drye & Warren LLP; Certified Anti-Money Laundering Specialist
 

Data Privacy

Privacy and data security continue to dominate business discussions in a post-GDPR world. Companies across all industries and sectors must adopt policies and institute practices that adhere to new regulations and address threats to their data. This discussion offers new insights into some current hot topics surrounding data protection and cybersecurity, particularly as they relate to the financial services industry.
 
Moderator:
Merrill Stone: Partner at Kelley Drye & Warren LLP

Panelists:

Dana Rosenfeld: Partner and Chair of Kelley Drye & Warren LLP’s Privacy and Information Security Practice

Ellen McCarthy: Managing Director and Chief Compliance & Risk Officer at VMS, LLC

John Thackeray: Risk and Compliance Policy Writer

Matthew Sullivan: Senior Associate at Kelley Drye & Warren LLP

This seminar is designed for Broker Dealers, FinTech Firms, Hedge Funds, Investment Banks, Commercial Banks, Insurance Companies, CRE Mortgage Lenders, Credit Card Issuers, CEOs, COOs, CFOs, Branch Office Managers, Bank Supervisors, Brokers, and Compliance Professionals at Financial Institutions.
 
CLE: Kelley Drye is an accredited provider of TX, NY, CA and IL CLE.  This continuing legal education program will offer California, Illinois and Texas general credit and New York non-transitional general credit. We will apply for CLE credit in other jurisdictions, upon request, but cannot guarantee approval.