Past Event

BSA/AML 2012
June 5, 2011 in San Francisco & June 7, 2012 in Newport Beach

Bankers may have addressed most credit and capital issues, but regulators are getting ready to ramp up oversight in other areas, including BSA!

Once again it’s clear that we should have no illusions that BSA/AML are of secondary concern to regulators preoccupied with other aspects of bank performance. Examiners are paying serious attention to BSA/AML compliance, and continue to focus firmly on the fundamentals. Consent Orders (C&Ds) show that banks can still be deficient in the fundamentals, the “Four Pillars”, which are still at the core of good BSA compliance, as well as risk assessment and due diligence.

BSA has slowly evolved into more complex reporting requirements. In 2010, the Federal Financial Institutions Examination Council issued a 439-page manual on policies and procedures. Since then, suspicious activity reports, or SARs, have picked up. Such reports jumped 14% last year, marking the biggest one-year increase since the financial crisis, according to Fincen. The spike is partly because of a pick-up in depository transactions as the economy improves. Also when banks looked at opportunities for cutting costs, compliance was often a victim.

CBA continues its series of BSA/AML seminars with a one-day event delivered in two locations.

The seminar aims to help compliance officers address such questions as:

  • Is my BSA program up to standard?
  • Does it meet the expectations of the regulators?
  • Does it meet the requirements and the intent of the Bank Secrecy Act and the Patriot Act?
  • Is it, and will it continue to be, effective?

Eligible Continuing Professional Education Credit Hours: 5.5


The session will run from 8:30 A.M. to 3:30 P.M., with breakfast and registrations beginning at 7:30 A.M. and lunch at noon.

Agenda topics include:

  • What’s new and evolving in the regulations
  • What are examiners focusing on? What are they seeing? What do they expect?
  • A practical review of the fundamentals
  • The intersection of BSA/AML and fraud
  • How developments in technology can support effective programs
  • Trends in enforcement and the consequences of non-compliance
  • The Big Picture including the implications of mortgage fraud, tax evasion, risk assessment and corruption
  • What’s next?


Compliance officers and managers, BSA/AML officers, risk managers, operations managers, internal auditors, general counsel, and directors should attend.

Scheduled Speakers

The seminar will be presented by a faculty of consultants and regulators who will offer a wealth of experience in BSA and anti-money laundering.  To date they include:

  • Christy Cornell-Pape, Case Manager Special Activities, FDIC
  • Jeff Ketelhut, BSA/AML Compliance Examiner, OCC
  • Charles Grice, Consultant, CRI Consulting, New York
  • FinCEN Compliance Management
  • A banking attorney specializing in representing banks in C&D’s

Registration Fees

Early-Bird Registration through Monday, May 7, 2012
Member – $345
Non-member – $445

Regular Registration
Member – $445
Non-member – $545

Location Information

Tuesday, June 5, 2012

Hyatt at Fisherman’s Wharf
555 North Point Street,
San Francisco, California, USA 94133
( 415) 563-1234

CBA has arranged a special rate of $209 per night. Please make your reservations by May 10, 2012 by clicking the following link:

Hyatt at Fisherman’s Wharf Reservations

Discounted overnight parking with room reservation and discounted daily parking.

Thursday, June 7, 2012

Hyatt Regency Newport Beach
1107 Jamboree Road
Newport Beach, CA 92660
(949) 729-1234

CBA has arranged a special rate of $149 per night. Includes complimentary overnight parking and guestroom internet. Please call the hotel to reserve.

CBA will host self parking the day of the event.