KING VAULT
This panel will discuss current 'hot topics' including:
- Frauds, rogue traders, mismarking...How have firms reacted to the events of 2008/2009?
- Monitoring clients: (a) are firms monitoring clients for financial crime 'red flags' (b); the FSA's recent report on financial services firms' approach to UK financial sanctions; and, (c) the application of OFAC sanctions.
- Monitoring employees: (a) is data protection really a barrier to employee monitoring and, if not, what requirements do you need to comply with; (b) the dos and dont's of front office surveillance.
- Dealing with requests for information from regulators: in the current environment what happens when a request is too onerous?
Chair:
Simon Elvidge Speakers:
Richard Ahern, Head of Financial Crime Prevention (Europe and Middle East), Newedge
Tom Lewthwaite, Partner, Deloitte
Neil Munro, Head of European AML Compliance, Morgan Stanley
Peter Snowdon, Partner- Financial Services, Norton Rose
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