Return-Path: Delivered-To: edward@transocean.com Received: from vps.transocean.com by vps.transocean.com (Dovecot) with LMTP id 6QZMHRscoFmsfgAAInt2oQ for ; Fri, 25 Aug 2017 05:46:19 -0700 Return-path: Envelope-to: edward@transocean.com Delivery-date: Fri, 25 Aug 2017 05:46:19 -0700 Received: from mta861.chtah.net ([63.236.31.147]:54026) by vps.transocean.com with esmtps (TLSv1.2:ECDHE-RSA-AES256-GCM-SHA384:256) (Exim 4.89) (envelope-from ) id 1dlDzz-0008QF-0b for edward@transocean.com; Fri, 25 Aug 2017 05:46:19 -0700 DKIM-Signature: v=1; a=rsa-sha256; c=relaxed/relaxed; d=eproduct.regulatorywebinar.com; s=20170308061316; t=1503665125; x=1519562725; bh=XWz+/m6OOz+eDbdkANJ3XhORj9bzl/76iCft0ffFiqQ=; h=From:Reply-To; b=DlJjkaSa+IILVDfYHFgFAGtZB6zecG9LPBLW8KJxVeJhDHfUNNpwWu945yvWPGgIa N4elojVnEOfXPaiCdUIi609nbEmBHrCP8jIoxkUvIQ5ugC1t2iRzjnTZEs5gB0Osdw ad7ZhHEt/Tw5QDUVHEBk4XX5pj5DW336SJ3b9oC+zlW9vghKkcdXwwsX8ntQVpWosJ wJqgrazJO4XtaSue7GlJcoKNRqhwSuUzgglP6UpUUKfmGc23cNV4zEfByqbi2mce3I JRPQL0C5uMIvPnUQCNtUSfk55DDCBaNTf+cgtP1Ms1Kv5q/t9vGONZs472M1VMRDzi 5NPihjmZfUXdQ== Date: Fri, 25 Aug 2017 12:45:25 -0000 Message-ID: List-Unsubscribe: From: "Standard Compliance" To: edward@transocean.com Subject: How to Comply with Final Rule 504 MIME-Version: 1.0 Reply-To: "info@onlinecompliancepanel.com" X-Mailer: CheetahMailer X-mid: 2105287690 X-aid: 2103788676 Content-type: text/html; charset="utf-8" Content-Transfer-Encoding: quoted-printable X-Spam-Status: No, score=-1.3 X-Spam-Score: -12 X-Spam-Bar: - X-Ham-Report: Spam detection software, running on the system "vps.transocean.com", has NOT identified this incoming email as spam. The original message has been attached to this so you can view it or label similar future email. If you have any questions, see root\@localhost for details. Content preview: onlinecompliancepanel-webinar-mailer-CHE-WILLIAM-SCHLAMEUSS-SEP06-NOR Are You Prepared? A Thorough Approach to Complying with Final Rule 504 LIVE WEBINAR Date: Wednesday, 06 September 2017 Time: 10:00 AM PDT | 01:00 PM EDT Call 510-857-5896 38780 Tyson Lane Suite 210 Fremont, CA-94536 Get upto 10% off if you register today! Call 510-857-5896 to know more. On June 30, 2016, the New York State Department of Financial Services (NYDFS) issued a Final Rule (Regulation 504) requiring regulated institutions to maintain “Transaction Monitoring and Filtering Programs” that are “reasonably designed” to meet their purpose and the regulated institutions’ Board or Senior Officer(s) make annual certifications to the DFS confirming compliance with the Final Rule. This webinar will discuss the background and layout of Final Rule 504 and the requirements of Rule 504 for transaction monitoring and filtering program implementation. It will also discuss the foundation of complying with Final Rule 504. [...] Content analysis details: (-1.3 points, 3.0 required) pts rule name description ---- ---------------------- -------------------------------------------------- 0.0 URIBL_BLOCKED ADMINISTRATOR NOTICE: The query to URIBL was blocked. See http://wiki.apache.org/spamassassin/DnsBlocklists#dnsbl-block for more information. [URIs: regulatorywebinar.com] -0.0 SPF_PASS SPF: sender matches SPF record 0.0 T_SPF_HELO_TEMPERROR SPF: test of HELO record failed (temperror) 0.7 MIME_HTML_ONLY BODY: Message only has text/html MIME parts 0.0 HTML_MESSAGE BODY: HTML included in message -1.9 BAYES_00 BODY: Bayes spam probability is 0 to 1% [score: 0.0000] 0.1 DKIM_SIGNED Message has a DKIM or DK signature, not necessarily valid -0.1 DKIM_VALID Message has at least one valid DKIM or DK signature -0.1 DKIM_VALID_AU Message has a valid DKIM or DK signature from author's domain X-Spam-Flag: NO =20=20=20=20=09 onlinecompliancepanel-webinar-mailer-CHE-WILLIAM-SCHLAMEUSS-SEP06-N= OR =09 3D"" =20=20=20=20=20=20=20=20=20=20
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Are You Prepared? A Thorough Approach to Complying with= Final Rule 504
LIVE WEBIN= AR
Date: Wednesday, 06 Septem= ber 2017
Time: 10:00 AM PDT &#= 124; 01:00 PM EDT
=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20
3D"O=
Call 510-857-5896=
38780 Tyson Lane Suite 210 Fremont, CA-94536
Get upto 10% off if you register today!=
Call 510-857-5896 to know more.
=20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20
=09=09=09=09=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20
=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20= =20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20 =20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20
=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20 On June 30, 2016, the New York State Department of = Financial Services (NYDFS) issued a Final Rule (Regulation 504&= #41; requiring regulated institutions to maintain “Transaction Monito= ring and Filtering Programs” that are “reasonably designed&rdqu= o; to meet their purpose and the regulated institutions’ Board or Sen= ior Officer(s) make annual certifications to the DFS confirming com= pliance with the Final Rule. This webinar will discuss the background and l= ayout of Final Rule 504 and the requirements of Rule 504 for transaction mo= nitoring and filtering program implementation. It will also discuss the fou= ndation of complying with Final Rule 504.

=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20=20 Key Learning Objectives
  • Learn the history and origin of model validatio= n principals
  • Discuss the background and layout of Final Rule= 504
  • Discuss the requirements of Rule 504 for transa= ction monitoring and filtering program implementation
  • Discuss the foundation of complying with Final = Rule 504, how to do that, what is included, and how to build upon that
  • Cover the development of a plan to ensure compl= iance with the rule
  • Discuss what to do, just in case you're not rea= dy
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=3D"instructor" William Schlameuss
Mr. Sc= hlameuss has over 20 years' experience in regulatory compliance, including = BSA/AML/OFAC. He has worked with a wide range of US branches of major forei= gn banking organizations from all continents, both as chief compliance offi= cer and compliance consultant. He has a prior background in IT as manager a= nd implementer of core banking and payment systems, as well as compliance-r= elated systems.
View More
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