Where Financial Services Providers and Issuers are at their Most Vulnerable: Focus and Priorities of Non-OFAC Enforcement and What the BIS and SEC are Looking For

April 25, 2017 2:20pm

Tracy L. Price
Assistant Director, FCPA Unit
U.S. Securities and Exchange Commission (Washington, DC)

Andy Gelinas
Executive Director, Global Financial Crimes Legal Advisory Group
Morgan Stanley (New York, NY)

Polly Greenberg
Managing Director
Duff & Phelps (New York, NY)

  • Inside recent SEC and BIS sanctions enforcement actions: main targets and lessons learned about what can trigger an investigation
  • What compliance-focused strategies firms should implement order to minimize their exposure
  • What scrutiny are Financial Institutions facing from other regulatory bodies?
  • How do regulators work together on sanctions investigations?