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AML Compliance Peer Roundtable Presents: “NYDFS Rule 504 Where Are We Now? Discussion on Best Practices, Challenges & Readiness” | Compliance Roundtable

AML Compliance Peer Roundtable Presents: “NYDFS Rule 504 Where Are We Now? Discussion on Best Practices, Challenges & Readiness”

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Date:
Date(s) - Monday, 27 November, 2017

Time:
1:00 pm - 4:30 pm

Host:
BNP Paribas

Location:
BNP Paribas

Format:
Event Details: Event Host: BNP Paribas Meeting Type: Compliance Roundtable Peer Discussion (In Person Meeting) Date: Monday, November 27th, 2017 Time: 1:00pm to 4.30pm Event Location: 787 7th Ave, 9th Floor, New York, NY 10019

In person only - no dial in

Agenda:


Welcome Message from the Host: Dan Auciello, Head of AML Transactions Monitoring Programme & Deputy Head of Financial Security at BNP Paribas

 

Housekeeping & Announcements: Violette Palion, Roundtable Co-chair

  1. Where are we now?  – Timeline
  2. Outstanding tasks and steps
  3. Greatest challenges
  4. Rule 504 Key Scope & Workstreams

           A.   AML Transactions Monitoring Program

            B.   Sanctions Filtering Program

            C.   Data Integrity, Data Management, Systems & ETL

  1. Should NYDFS Project/Program be a standalone Framework document or incorporated as a Section within existing Policies and Procedures?

        Intermission: 30 Minutes: Refreshments & Networking Break

  1. Data Integrity Testing, Metadata
  2. Data Management & Controls, Systems, ETL
  3. The role of Internal Audit
  4. Continuous Improvement / Remediation Program
  5. Annual Programme Certification – Who will be signing  off?