Speakers: Michael J. Lowell

Event Type: CLE / CPD, Seminar

Location Name:
Reed Smith, 599 Lexington Avenue 22nd Floor, New York NY 10022
Start Date/Time:
21 October 2015, 4:00 PM EDT
End Date/Time:
21 October 2015, 6:00 PM EDT

A CLE Seminar and Panel Discussion with Current and Former Investigators

Anti-money laundering and sanctions-related enforcement actions continue to generate headlines, as an increasingly complex network of government agencies coordinate enforcement to impose significant fines and penalties - some over $1 billion - against companies for alleged flaws in their compliance systems.

Join us Wednesday, October 21, 2015, for an analysis of recent enforcement activities and a panel discussion featuring former prosecutors and federal agents addressing these very issues. Gain insight into the mind of the enforcers and share ideas for ensuring that you and your company maintain a robust compliance function that reduces the risk of adverse government action.

This program will explore the following questions:

  • What is the government looking for?
  • How can you protect  your company?
  • What can we learn from past enforcement to mitigate risks in the future?


Polly Greenberg - Managing Director, Regulatory Consulting, Duff an Phelps; Former Chief, Major Economic Crimes Bureau, Manhattan District Attorney's Office

Frank DiGregorio - Investigator, Queens County District Attorney's Office

Evan Weitz - Deputy Head of Investigations, Financial Crime Compliance (Americas), Standard Chartered Bank; Former Assistant U.S. Attorney, District of New Jersey, Eastern District of New York, Northern District of Georgia

Michael Lowell - Partner, Reed Smith; Co-Chair, Anti-Money Laundering and Trade Sanctions Group

Kathleen Nandan - Counsel, Reed Smith; Former Principal Deputy Chief, Civil Division, U.S. Attorney's Office, Eastern District of New York

Travis Nelson - Counsel, Reed Smith; Former Enforcement Counsel, Comptroller of the Currency, U.S. Treasury Department

Register here.

Course Materials

PowerPoint Presentation – Part 1 (Michael Lowell)

PowerPoint Presentation – Part 2 (Travis Nelson)

Relevant Statutes

31 USC 5318: Compliance, exemptions, and summons authority

50 USC 1701-1708: War and national defense

Trading With the Enemy Act

NY Penal Law

Recent Enforcement

BNP Plea

Commerzbank DPA



Enforcement and Prosecutorial Guidance

Yates Memorandum

Considerations in Charging Organizations

USAM-Principles of Federal Prosecution

FinCEN Culture of Compliance

Federal Register 74_215