Compliance Summit ‘08 Agenda
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• What are enforcement action trends, what are the lessons learned.
• What the regulators will focus on in 2008.
• What the state AG and class action lawyers will focus on in 2008.
• What are the compliance requirements under the new FACT Act regulations.
• Who are the key community activist groups and what are they targeting.
• What are problematic policies and practices that examiners are discovering.
• What are the risk management best practices that deliver results in BSA/AML,
Fair Lending, Privacy and other high risk areas.
• Risk Assessments: How to, How not to.
• What are Key Risk Indicators & how to leverage them.
• What are the top five risk issues you must work with your board of directors on.
• How to leverage your compliance risk management program for business
benefits: case studies of how to take your program to the next level.
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| Day 1: Monday, February 11, 2008 |
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| 7:30 am – 8:30 am |
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Continental Breakfast & Registration |
| 8:30 am – 8:45 am |
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Welcome & Opening Comments |
| 8:45 am – 9:30 am |
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The State of the Union: Enforcement Actions & Litigation Metrics, Key Cases, Lessons to be Learned & Forecast for 2008
Sai Huda, Chairman & CEO, Compliance Coach |
| 9:30 am – 9:45 am |
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Break |
| 9:45 am – 11:45 pm |
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Regulators Roundtable Part I:
BSA / AML: What are the Compliance Pitfalls to Avoid, What will the Examiners focus on in 2008
Ira Levine, Supervisory Examiner, Federal Reserve
Christy Cornell-Pape, Supervisory Examiner, FDIC |
| 11:45 pm – 1:00 pm |
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Lunch |
| 1:00 pm – 3:00 pm |
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Regulators Roundtable Part II:
Problematic Policies & Practices: What Examiners are finding with Fair Lending, FACT Act, Flood & Other Issues, What will they focus on in 2008
Rick Freer, Senior Examiner, OCC
Cheryl Moyer, Supervisory Examiner, FDIC |
| 3:00 pm – 3:15 pm |
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Break |
| 3:15 pm – 5:00 pm |
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What will Trigger an Enforcement Action or Class Action Lawsuit, How Financial Institutions get into trouble with BSA/AML, Fair Lending and other Compliance Risk Issues: The Inside Scoop, Case Studies of How To, How Not To
Dr. Balvinder Sangha, Partner, Ernst & Young
Paul Osborne, Partner, Crowe Chizek |
| 5:00 pm – 6:00 pm |
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Peer Group Roundtables & Reception: BSA/AML, Fair Lending & Consumer Compliance Risk Issues Knowledge-sharing |
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| Day 2: Tuesday, February 12, 2008 |
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| 7:15 am – 8:15 am |
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Continental Breakfast |
| 8:15 am – 9:45 am |
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Compliance Officers Roundtable Part I:
BSA/AML & Overall Compliance Risk Assessments: Cutting-Edge Best Practices, How to Leverage Key Metrics & Other Analytics for Risk Management in the new Risk Environment, What are your Peers implementing, What delivers Results
Jon Elvin, SVP, BSA / AML Officer, PNC
Ed Bade, SVP, Compliance, Northern Trust |
| 9:45 am – 10:00 am |
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Break |
| 10:00 am – 11:15 am |
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Compliance Officers Roundtable Part II:
Risk Mitigation Strategies & Tactics: Accept, Mitigate or Transfer, How to Decide, When to Decide for Optimal Risk Management, Case Studies of How To, How Not To
Bill Carrier, VP, Compliance, HSBC
Ferol Hetick, SVP, Compliance, Trustmark Bank |
| 11:15 am – 11:30 am |
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Break |
| 11:30 am – 12:30 pm |
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ID Theft Detection & Prevention: New FACT Act ID Theft Red Flags Rule, What are the Latest Schemes, What are the Industry Best Practices that effectively detect & prevent ID Theft & associated Losses
Mary Beth Guard, Editor, Bankers Online |
| 12:30 pm |
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Closing Comments & Adjournment |
Further details on topics and speakers will be posted shortly.
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