1. BSA/AML Lessons Learned from Examinations and Sanctions

BSA/AML Lessons Learned from Examinations and Sanctions

Event ID: 2150460
Not for Sale
Duration: Scheduled for 90 minutes including question and answer period.
Presenter: Kenneth Agle, president, AdvisX

BSA/AML Lessons Learned from Examinations and Sanctions

This webinar focuses on hot issues as revealed in today’s BSA/AML examinations and sanctions. Our practical guidance includes how to avoid pitfalls in policies, procedures and systems, as well as how organizations can promote understanding in these areas. The goal is to learn from others’ mistakes and criticisms and make any changes needed to avoid regulatory penalties or increased scrutiny.

Regulations mandate policies, that mandate procedures, that mandate implementation, that mandate adherence. Criticisms can be, and frequently are, leveled at any one of these stages. It isn’t easy, but you already know that.

In the world of regulatory compliance, critics abound. If anything, that is even truer when you are dealing with BSA/AML compliance. We can learn from the mistakes of others and avoid those criticisms. What Benjamin Franklin said so long ago still applies today: “an ounce of prevention is worth a pound of cure.” Finding those ounces in the world of BSA/AML examinations and sanctions is what this webinar is about.

Whether you are new to the BSA/AML examinations and sanctions world or a seasoned veteran, this webinar will provide a strong combination of the understanding of risk factors from others and potential new ideas for enhancing your BSA/AML and sanctions programs.

Please join Ken Agle as he offers practical guidance based on lessons learned from BSA/AML examinations and sanctions.


This webinar will provide insights from prior violations cited and the impact of those violations on today’s financial institution. Key elements will include:

  • A summary of the BSA/AML and sanctions regulations and what key elements are the subject of regulatory focus and present enhanced risks.
  • What tomorrow’s regulatory environment will mean to today’s financial institution and what is needed to promote a sound BSA/AML and sanctions program.
  • Understanding the risk factors that may result in a more fertile ground for violations and how to avoid them.
  • Understanding responsible business conduct and how it plays a role in promoting a sound BSA/AML and sanctions environment.
  • The need for comprehensive understanding across an organization to prevent BSA/AML and/or sanction violations.
  • A key section for senior management and the board of directors that summarizes key risk areas and violations presented.

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