patent litigation

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Address both issues of Ethics and Risk Management which have been factors for financial institution's concerns as they face "what is the right way" and "appropriate risk appraisal" in putting together a viable compliance program. Attending this course will give you the strategy you need to make policy, procedure, and process a firm’s three prong defense “against a life that comes at you fast and requires one person or a firm to signal and change lanes at a moment’s notice.” Advanced registration is recommended as space is limited.

Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Group, LLC
Recommended CLE/CPE Hours: 1.75 - 2.0
Important Note: Your State Bar or Accounting Board will make the final determination with respect to continuing education credit. If you are applying for CLE credit in Texas you must register 20 days before the event date or you will not be able to obtain CLE credit.
Advance Preparation: Print and review course materials
Course Code: 103981
Recording Fee: $299 (Please click here for details)
NASBA Sponsor Number: 109004

 

Featured Speakers for Ethics and Risk for OFAC LIVE Webcast:


Proposed Agenda (click here to view more)


SEGMENT 1:


Gerard (Jerry) W. LiVigni, Senior Compliance Officer, Office of Foreign Assets Control (OFAC),
U.S. Department of the Treasury

- Address both issues of Ethics and Risk Management which have been factors for financial
   institution's concerns as they face "what is the right way" and "appropriate risk appraisal" in putting
   together a viable compliance program.
- Suggested possible strategy you need to make policy, procedure, and process a firm's three prong
   defense "against a life that comes at you fast and requires one person or a firm to signal and
   change lanes at a moment's notice."

SEGMENT 2:


Daniel L. Tannebaum (CFE) , OFAC Compliance Manager,
Federal Reserve Bank of New York

- The importance of conducting an OFAC risk assessment prior to program development.
- How to work with the business line when program deficiencies are discovered.
- Industry best practices in OFAC program development.
- Training senior management to appreciate OFAC compliance and associated risks.

SEGMENT 3:


Daniel B. Pickard, Partner,
Wiley Rein LLP

- Recent developments in enforcement actions
- Client concerns – new and old
- Voluntary self disclosures and the new enforcement guidelines
- Pending Iran legislation

SEGMENT 4:


Darren Donovan , Principal, Forensic Services,
KPMG LLP

KYC

- Who is your customer, level of due diligence necessary, customer customers, relationships
   with and reliance on other (US/non-US) financial institutions and potential OFAC exposure
- Pre/post M&A due diligence - see Hilton example (also old article Antonio and I wrote on this
   from an AML/OFAC perspective

Transaction Monitoring

- System deployment, tuning, what is being screened and overall integration into transaction
   monitoring for suspicious activity

Indirect OFAC exposure (this depends on the audience – key in the Caribbean and Latin America)

- Hot topic countries: Venezuela, Ecuador and Bolivia due to Cuba and Iran exposure
- Secondary hot topic countries: Canada, Caymans, Panama similar exposure as above since
   some of the US-$ transactions are being routed this way through subsidiaries or
   affiliates, despite them clearing in NY.



U.S. Department of the Treasury
Gerard (Jerry) W. LiVigni
Senior Compliance Officer, Office of Foreign Assets Control (OFAC)
speaker bio »»

Federal Reserve Bank of New York
Daniel L. Tannebaum (CFE)
OFAC Compliance Manager
speaker bio »»

KPMG LLP
Darren Donovan
Principal, Forensic Services
speaker bio »»

Wiley Rein LLP
Daniel B. Pickard
Partner
speaker bio »»

Who Should Attend?

- CEOs
- CFOs
- Financial Institution Audit
- Compliance, Legal, and Operational Professionals and Staff

Why Attend?

This is a must attend event for anyone interested to learn the importance of ethics and risk management in a sustainable compliance program.
    - Detailed guidance explained by the most qualified key leaders & experts
    - Hear directly from key regulators & thought leaders
    - Interact directly with panel during Q&A

Registration Information:                                                                                                                                    


Disclaimer:
Please note, the event date is firm although it may be subject to change. Please click here for details.

 

 

 

 


Ethics and Risk for OFAC: Two Aspects of One Compliance Reality
LIVE Webcast
Speaker Firms and Agencies:


U.S. Department of the Treasury



Federal Reserve Bank of New York







 

The Knowledge Group, LLC is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Website: www.nasba.org


 

We are an approved multi-event sponsor in the state of California. Our provider ID is: 14451. In Texas, Illinois, and Virginia, we submit programs for individual approval in advance. In all other states, once attendance is verified, participants are emailed an official certificate of attendance which they submit to their respective State Bar Associations. Our programs are created with continuing education in mind and are therefore designed to meet the requirements of all State Bar Associations. If you have any questions, please email our CLE coordinator at: info@knowledgecongress.org

Important Note: Your State Bar or Accounting Board will make the final determination with respect to continuing education credit. If you are applying for CLE credit in Texas you must register 20 days before the event date or you will not be able to obtain CLE credit.

Attention New York Attorneys:

This program is approved for CLE credit under New York’s Approved Jurisdiction policy. The Knowledge Group, LLC is an approved sponsor in the state of California, a New York Approved Jurisdiction. This program fulfills the non-traditional format requirement of exceeding 60 minutes in length. Please note only experienced attorneys (more than 2 years) are eligible to receive CLE credit via non-traditional format learning platforms. The Knowledge Group will verify attendance during the webcast via secret words (3 per credit hour) and by auditing attendees log in and log out records. All verification instructions will be provided during the webcast. Once attendance verification requirements have been completed, the attendee will be issued a certificate of attendance be The Knowledge Group for the course with the recommended number of credit hours. The Certificate of Attendance is normally sent via email in 24 hours or less.

To Claim Your CLE Credits:

The attorney should simply include credits earned via Knowledge Group webcasts when computing the total number of CLE credits completed, and keep the Knowledge Group Certificate of Attendance for a period of at least four (4) years in case of audit. An attorney may count towards her/his New York CLE requirement credit earned through the Approved Jurisdiction policy without notifying the CLE Board.

To learn more about New York’s Approved Jurisdiction policy. Please visit: http://www.nycourts.gov/attorneys/cle/approvedjurisdictions.shtml



 
Enrolled Agents Sponsor ID Number: 760

We have entered into an agreement with the Office of Professional Responsibility, Internal Revenue Service, to meet the requirements of 31 Code of Federal Regulations, section 10.6(g), covering maintenance of attendance records, retention of program outlines, qualifications of instructors, and length of class hours. This agreement does not constitute an endorsement by the Office of Professional Responsibility as to the quality of the program or its contribution to the professional competence of the enrolled individual.