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Compliance Newsflashes

SIA Hosts Anti-Money Laundering Compliance Conference; J.M. Forbes Goes Live With INDATA for Modeling, Compliance and TOM; Factor 3 Releases Business Activity Monitoring Platform

SIA Hosts Anti-Money Laundering Compliance Conference

The Securities Industry Association (SIA) will host its Anti-Money Laundering compliance Conference on March 17, 2005, at the Grand Hyatt New York in New York City. The conference is aimed directly at brokerage industry professionals responsible for anti-money laundering and Office of Foreign Assets Control (OFAC) compliance. Panelists will discuss the most recent developments and requirements in anti-money laundering laws, including enforcement actions and what they mean for compliance programs; what firms can expect on examinations, customer identification programs, and the new correspondent and private banking account due diligence requirements; monitoring for suspicious activity and terrorist financing; and OFAC requirements. The program will include representatives from the U.S. Department of the Treasury, Financial Crimes Enforcement Network, Securities Exchange Commission, the New York stock exchange, NASD, OFAC, the Department of homeland Security and the FBI.

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