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One registration & a speaker phone is all you need!

Ajay Mehra is the CCO at Perella Weinberg Partners, an RIA in New York. Prior to joining Perella Weinberg Partners, Mr. Mehra was Head of Legal - Traditional Asset Management & Hedge Funds (Americas) at Credit Suisse Asset Management. In this role, he was responsible for all legal issues related to the trading products on Credit Suisse’s U.S. asset management platform. He also was a senior associate in the Asset Management Practice Group at Shearman & Sterling LLP in Washington, D.C., and was Senior Counsel at the SEC in Washington, where he worked in both the Division of Investment Management and the Office of Compliance Inspections and Examinations.

Mark Happe is CCO at MMC Securities Corp., Marsh & McLennan Companies, Inc. in New York. Prior to joining MMC, he spent three years at two NY-based subsidiaries of Royal Bank of Canada, serving as the CCO of its institutional investment firm and, most recently, as the General Counsel and CCO of its retail brokerage firm. Prior to working at RBC, he was an in-house attorney with Prudential Securities, where his responsibilities included internal investigations, regulatory exams, and customer and employee related litigation. Previously, he worked for the SEC, last serving as a Senior Counsel with its Enforcement Division.

Ross Delston is an attorney, Certified Anti-Money Laundering Specialist (CAMS) and former US banking regulator who specializes in anti-money laundering/combating the financing of terrorism (AML/CFT) compliance. His Washington, D.C.-based consulting firm, GlobalAML.com, advises multinational financial institutions on AML/CFT issues such as policies and procedures, independent audit, trade finance and risk assessment. Ross was a Managing Director at Kalorama Partners.

Thomas Bogle is a partner with the Washington, D.C., office of Dechert, where he regularly advises investment companies, fund boards of directors, investment management companies and other financial institutions on a wide variety of corporate, regulatory, and enforcement matters. Mr. Bogle is actively engaged in the firm’s anti-money laundering practice. He regularly counsels financial institutions on compliance with the Bank Secrecy Act and U.S. economic and trade sanctions, and has written numerous articles on these topics.

This webinar was originally recorded September 14, 2010, 2:00 – 3:30 p.m., but due to the overwhelming demand for the recording, we have made it available on CD for your convenience.

If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!

Webinars are sponsored by IA Week, a publication of IA Watch, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.

The Dodd-Frank financial regulatory reform law may well lead to required anti-money laundering programs at RIAs. And even through they’re not required now, you can take it to the bank that SEC examiners will ask you about your AML efforts when they visit. Maintaining a program is increasingly seen as a best practice, and even a necessity to do business with certain clients.

If you do maintain an AML program, you must know the pitfalls to avoid or risk an SEC deficiency – or worse. That’s why we are offering the CD of the September 14th webinar to give you the tools you need to run an impressive AML program.

Discover what SEC examiners ask for during exams, hear the components of a great AML program and get insights from peers who have run AML programs for years – and experts who have set up programs the world over.
Purchase the CD of the September 14th webinar, AML Programs Reloaded: Why Dodd-Frank May Change the Landscape for RIAs and take away:

• Why the new Dodd-Frank law is likely to lead to a mandate that RIAs adopt an AML program
• Current regulations governing anti-money laundering efforts
• How SEC examiners are probing RIA AML programs for holes
• Why you should cross-check your efforts against your affiliated broker’s
• The difference between how SEC and FINRA examiners look at AML programs
• The importance of an independent review of your efforts
• What your peers are doing to combat money laundering – and how best to document your efforts
• Why an OFAC check doesn’t equate to an AML program
• And much more.

YES, please rush me a copy of the CD containing the audio and speaker presentation materials of the webinar, AML Programs Reloaded: Why Dodd-Frank May Change the Landscape for RIAs for $195 [TA2008CD].

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Webinars are sponsored by IA Week, a publication of IA Watch, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.

© 2010 IA Watch