8:00 Registration
8:45 Opening Remarks for the Chair
9:00 Insuring Execution of Internal Controls to Mitigate and Deter
Fraudulent Practices in the Financial Sector
Joseph Carley
Vice President, Worldwide Investigations
Bank of New York Mellon
9:45 Assessing the SEC's Response to Rogue Trading and Internal Fraud
Thomas Biolsi
Associate Regional Director
U.S. Securities and Exchange Commission
10:30 Networking Break
11:00 Identifying your Institution's Exposure to Fraud:
Developing Scenarios
Kate Leibfried
Senior Global Operational Risk Director, Global Wealth Management
Citigroup, Inc.
11:45 Addressing Fraud for Sarbanes-Oxley
Mark Pappas
Executive Director, Sarbanes-Oxley Compliance Group
Morgan Stanley
12:30 Lunch
1:30 Extended Panel Discussion
Navigating Your Internal Controls Panel: Putting on Your
Fraudster Hat
Joseph Iacano
Vice President and Manager of Internal Controls
Legg Mason, Inc.
Michael D. Friedman
Managing Director
Natixis Capital Markets Inc.
Simon Hales
Senior Vice President, Chief Security and Fraud Officer
HSBC North American Holdings
Kurt Regush
Vice President, Global Derivatives Operations
Goldman Sachs
2:45 Shifting from Compliance-Driven Controls to Fraud Deterrence
Philippa Girling
Global Co-Head of Operational Risk
Nomura Securities Co.
3:30 Networking Break
4:00 Case Study
Executing Best Practices for Internal Fraud Mitigation:
Lessons from the Retail Banking Sector
Bill Clark
Director, Security
SunTrust Banks, Inc.
4:45 Case Study
Building a Cross-Functional Fraud Action Team
Baldwin Kramer
Head of Security
ABN AMRO
5:30 Close of Day One