  Thursday, April 3, 2003
 General Session: 8:00 - 9:30 am “Regulatory Panel” This is a “not-to-miss” session with senior members of the nation’s top regulators… Lisa J. Lintecum Director, Fiduciary Activities Asset Management Division OFFICE OF THE COMPTROLLER OF THE CURRENCY Washington, DC Lisa will discuss the current initiatives underway at the OCC. Judi McCormick OFFICE OF THRIFT SUPERVISION Washington, DC In this session, OTS will cover its latest developments in regulations, legal opinions, and other policy matters. Gene Gohlke Inspections Office SECURITIES AND EXCHANGE COMMISSION Washington, DC The SEC has been active in every aspect of the financial services industry. Gene will offer an insider’s view of the current hot topics in SEC examinations. Stefan Walter Vice President – Market & Liquidity Risk Management FEDERAL RESERVE BANK OF NEW YORK New York, New York Mr. Walter will discuss the current initiatives with Federal Reserve examinations, including their Global Standards for Operational Risk. Elaine Michitsch NEW YORK STOCK EXCHANGE New York, New York The NYSE is becoming much more active in its oversight and enforcement. Elaine will offer insights to the current initiatives of this exchange. Carla Romano NASD REGULATION, INC. Chicago, Illinois Carla Romano will talk about regulatory "hot" topics and current examination priorities at the NASD. General Session: 9:45 - 11:00 am "An Insight on Corporate Fraud " Ralph J. Summerford Partner DIXON ODOM, PLLC Birmingham, Alabama In the wake of accounting scandals at Enron, WorldCom, Xerox, and other major companies, investors and employees are frightened! Billions of dollars have been lost – pension funds gone and lives destroyed. Accounting scams, management abuse, and a lack of corporate ethics seem the norm. What’s behind these events? Is this a new problem? This thought provoking session will explore why frauds are committed. Learn about the latest fraud research and how it affects you. It's timely; it's important; it's information you need to know. General Session: 11:15 am - 12:30 pm “Fraud – The Enforcement Perspective” Special Agent Edward Guillen Section Chief of Financial Operations DRUG ENFORCEMENT ADMINISTRATION US Department of Justice Arlington, Virginia This session will begin with a discussion of the current trends in narcotics money-laundering, including bulk shipments of currency, the resurgence of money service businesses (MSBs), and the black market peso exchange. Agent Guillen will then address how financial institutions are responding to anti-money laundering as well as address the threats to the stability of the financial services industry, including the potential for indictments, reputation risk, civil action, and criminal action. Adjourn: 12:30 pm
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