CLE Course Details

Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks

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Price: $29
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  • Description

    Assessment of AML programs for potential pitfalls and vulnerability is critical for firms. This CLE course, presented by FINRA staff and industry experts, will explain regulatory trends and enforcement actions including those by the SEC and other agencies and criminal and governmental authorities. Methods to mitigate risk, due diligence tips and recent trends, including those involving crypto-currency will all be presented.

  • Instructor Bio

    Laura Blackston

    Laura Leigh Blackston is Senior Regional Counsel with FINRA’s Enforcement Department. Ms. Blackston joined FINRA as an attorney in 2002. Prior to joining FINRA, she was an associate and partner with the General Litigation group of the law firm Jones Walker. As Senior Regional Counsel, Ms. Blackston has handled key enforcement actions regarding anti-money laundering and has co-taught Anti-Money Laundering Regulation at FINRA’s Institute at Wharton. Ms. Blackston graduated from the University of Mississippi in 1988 with honors and received her J.D. Degree from Washington and Lee University with honors in 1992. She is also a member of FINRA’s Anti-Money Laundering Regulatory Expert Group and is Certified Anti-Money Laundering Specialist (CAMS).

    Sarah Green

    Sarah D. Green is Senior Director in the Enforcement Division at FINRA, specializing in anti-money laundering (AML) and other Bank Secrecy Act issues. She has responsibility for consulting with both examination and enforcement staff on AML and other issues, as well as training staff organization-wide on the handling of suspicious activity reports (SARs). Ms. Green is also responsible for FINRA AML policy issues and guidance and external training of financial industry professionals domestically and internationally. Previously, she was the Bank Secrecy Act Specialist in the Division of Enforcement’s Office of Market Intelligence (OMI) at the U. S. Securities and Exchange Commission (SEC). In this role, she oversaw the Commission’s review and use of SARs, consulted with Enforcement staff on antimony laundering and SAR handling issues, and facilitated information sharing between Enforcement and SEC’s Office of Compliance Inspections and Examinations (OCIE).

    Prior to joining OMI, Ms. Green was a Branch Chief in OCIE, managing the Commission’s AML examination program for brokerdealers, including developing examination modules, conducting training for SEC and self-regulatory organization (SRO) staff and coordinating with the SROs on all aspects of AML examination and enforcement. Ms. Green represents FINRA on the Bank Secrecy Act Advisory Group, which advises the Financial Crimes Enforcement Network and the Department of Treasury on anti-money laundering issues. She is a frequent speaker on AML, and regularly provides technical assistance to domestic and international audiences. Prior to joining the SEC, She was an associate in the Corporate and Securities practice group at Gardner Carton & Douglas LLP. Ms. Green received her J.D. from the William and Mary School of Law and her B.A. from Hamilton College.

    Paul Tyrrell

    Paul M. Tyrrell, Partner of Sidley Austin, LLP, focuses his practice on securities and commodities compliance and enforcement matters affecting financial institutions, with an emphasis on sales practice and supervisory rules applicable to broker-dealers and their associated persons. He also advises clients on their compliance with the USA PATRIOT Act, Bank Secrecy Act and related anti-money laundering requirements and has been involved in leading regulatory AML disciplinary matters over the years. Mr. Tyrrell's extensive regulatory and litigation experience informs his comprehensive approach to challenges that clients encounter throughout their various lines of business. Mr. Tyrrell was a senior special regional counsel at FINRA's (formerly NASD) Boston District Office. He managed investigations and filed disciplinary matters arising out of broker-dealer examinations. As a senior trial attorney with the CFTC in New York, Mr. Tyrrell managed enforcement matters. He received his JD from Western New England College School of Law and his BA from the University of Florida.

    David Cohen

    David A. Cohen is an attorney in the U.S. Securities and Exchange Commission’s Office of Market Intelligence, Bank Secrecy Act Group. The BSA Group reviews SAR filings and provides guidance to the SEC’s enforcement staff in connection with AML-related matters. Mr. Cohen joined the SEC’s Office of Investor Education and Advocacy in 2013 and moved to the Office of Market Intelligence in 2017. Before joining the Commission, Mr. Cohen was an Assistant Director of Government Relations for the Financial Planning Association. Mr. Cohen also served as the Supervising Attorney in the Bureau of Registration and Enforcement for the Wisconsin Department of Financial Institutions, Division of Securities. He supervised the staff of attorneys and investigations responsible for enforcing Wisconsin’s securities laws.

    Mr. Cohen began his law career in private practice with firms in New York, New York and Madison, Wisconsin. He received a B.S. in Economics from the Wharton School of the University of Pennsylvania and his J.D. from Boston University.