Annual Risk Management & Regulatory Examination/Compliance Seminar

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1 PROGRAM Annual Risk Management & Regulatory Examination/Compliance Seminar October 24-25, 2016 CUNY Graduate Center 365 Fifth Avenue, NYC Celebrating 50 Years of Thoughtful Leadership and Advocacy

2 Thank you to our Sponsors

3 Monday, October 24 8:30am-8:55am Continental Breakfast sponsored by 8:55am-9:00am Welcome/Introductory Remarks Sally Miller Chief Executive Officer Institute of International Bankers 9:00 am-10:30am Regulatory/Supervisory Policy Initiatives Jack Jennings Teresa Rutledge James Giles Erik Remmler David Wright (moderator) Senior Associate Director Division of Banking Supervision and Regulation Federal Reserve Board Director for International Banking Supervision Office of the Comptroller of the Currency Assistant Director Office of Compliance Inspections and Examinations Securities and Exchange Commission Deputy Director Registration and Compliance Branch Swap Dealer and Intermediary Oversight Division Commodity Futures Trading Commission Managing Director Governance, Regulatory & Risk Strategies Deloitte & Touche LLP 1

4 Monday, October 24 10:30am-10:45am Coffee Break sponsored by 10:45am-12 noon Lessons Learned from Recent Enforcement Actions/ Investigations Involving Trading Floor Activities Graham Broyd (moderator) Howard Wynn Alan Bozian Jennifer Kennedy Park Senior Director Financial Markets Conduct and Compliance Practice Treliant Risk Advisors Chief Compliance Officer Corporate and Investment Bank BNP Paribas, USA Former CEO, CLS Bank International and CEO, Global Markets, Fortis in the U.S., and Head of Global Treasury for UBS in the U.S. Cleary Gottlieb Steen & Hamilton LLP 12 noon-1:45pm Luncheon sponsored by Keynote Speaker: Christopher Calabia Senior Vice President Federal Reserve Bank of New York 2

5 Monday, October 24 1:45pm-3:15pm Supervisory Developments Regarding BSA/AML and OFAC Compliance MaryBeth Evans Braddock Stevenson Stephanie Brooker Michael Mancusi Ellen Zimiles Supervisory Financial Analyst BSA/AML Section Federal Reserve Board Section Chief - Depository Institutions Office of Compliance and Enforcement Financial Crimes Enforcement Network Department of the Treasury Gibson Dunn & Crutcher LLP Arnold & Porter LLP Managing Director Navigant 3:15pm-3:30pm Coffee break sponsored by 3:30pm-4:30pm Hot Compliance Topics for Global Swap Dealers Charles Constantin Douglas Donahue Head of Compliance and Regulatory Risk, Americas Commonwealth Bank of Australia Mayer Brown LLP 3

6 Monday, October 24 David Lucking Gabriel Rosenberg Allen & Overy LLP Davis Polk & Wardwell LLP 4:30pm Adjournment Tuesday, October 25 8:30am-8:55am Continental Breakfast 9:00am-10:15am Cybersecurity: Regulatory Developments and Industry Practices Walter J. Mix, III Mike Hartigan Melissa Hall James Talbot Managing Director Berkeley Research Group NY Chief Information Security Officer Credit Agricole Corporate and Investment Bank Of Counsel Morgan, Lewis & Bockius LLP Counsel Skadden, Arps, Slate, Meagher & Flom LLP 4

7 Tuesday, October 25 10:15am-10:30am Coffee Break sponsored by 10:30am-12 noon The Perspectives of Prudential Supervisors on Examination Issues David Fenton Marci Heppner Ruth Adams Daniel Weiss (moderator) Supervisory Team Manager Federal Reserve Bank of New York Director for International Banking Supervision Office of the Comptroller of the Currency Deputy Superintendent for Banking New York State Department of Financial Services Principal PwC 12 noon-1:45pm Luncheon sponsored by Keynote Speaker: Shirin Emami Executive Deputy Superintendent of Banks New York State Department of Financial Services 1:45pm-3:15pm Practical Suggestions for Complying with the DFS Transaction Monitoring and Filtering Requirements Donna Daniels Executive Director Fraud Investigation and Dispute Services Ernst & Young LLP Alan Avery, Latham & Watkins LLP 5

8 Tuesday, October 25 David DiBari Connie Friesen Clifford Chance US LLP Sidley Austin LLP 3:15pm-3:30pm Coffee Break sponsored by 3:30pm-4:30pm How to Attract and Retain Compliance Department Personnel Eric Young Marikay Hines-Corcoran Kristen Jaconi Robert Voth Chief Compliance Officer BNP Paribas Americas Principal KPMG LLP Managing Director Promontory Financial Group, LLC Head of Global Consumer and Commercial Financial Services Russell Reynolds Associates 4:30pm Adjournment 6