Managing Directors Jay Lippman and Tara Loftus Host Panels at the Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering and Financial Crimes Conference
Managing Directors Jay Lippman and Tara Loftus will both speak at the SIFMA Anti-Money Laundering & Financial Crimes Conference from February 12-13, held at the Marriot Marquis in New York City.
On Monday, February 12, hear from Jay Lippman as he moderates his panel "Penny Wise: OTC Markets, Legal/Regulatory Developments and Canadian Microcap Risk Mitigation" and discusses key microcap enforcement regulations that the SEC and FINRA developed in 2017 and relevant trends for managing risk, followed by panel suggestions on mitigating microcap risk. Learn more about Broker-Dealer Compliance and RIA Advisory from our experts here.
Apply your newly acquired risk mitigation knowledge to Tara Loftus' panel "Assessing Risk: It Is Not Just an Annual Process" on the following day, Tuesday, February 13. Join Exiger Vice President, Global Head of Exiger Insight 3PM, and panelist Aaron Narva: participate in an interactive game-show style discourse that will examine risk components--assessments, statements, and specific risks of clients, products and vendors--in relation to the overall Financial Crime Risk Framework. Find out more about risk management and how Exiger Risk 360 enables targeted risk assessments in a flexible, auditable, user-friendly platform.
To learn more and register for the event, click here.
Read opening remarks from the conference here.