February 7, 2024
Please join us for a discussion about the latest developments and trends in U.S. and international anti-money laundering (AML) and sanctions laws, regulations, and enforcement. In particular, we will cover recent updates related to BSA/AML and sanctions rulemaking, legislation, and guidance. We will also have a detailed discussion of key areas of focus seen in recent enforcement actions, including digital assets, fintech partnerships and innovative technologies, customer risk ratings and diligence processes, financial transactions involving Russia, cybersecurity, and risk-based compliance measures. We will also discuss compliance expectations and best practices, and what to expect for BSA/AML and sanctions in 2024, including with respect to anticipated FinCEN rulemaking for investment advisers and real estate businesses.
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F. Joseph Warin is chair of the 250-person Litigation Department of Gibson Dunn’s Washington, D.C. office, and he is co-chair of the firm’s global White Collar Defense and Investigations Practice Group. Mr. Warin’s practice includes representation of corporations in complex civil litigation, white collar crime, and regulatory and securities enforcement – including Foreign Corrupt Practices Act investigations, False Claims Act cases, special committee representations, compliance counseling and class action civil litigation. His clients include corporations, officers, directors and professionals in regulatory, investigative and trials involving federal regulatory inquiries, criminal investigations and cross-border inquiries by dozens of international enforcers. Mr. Warin is admitted to practice in the District of Columbia.
Stephanie L. Brooker is a partner in the Washington, D.C. office of Gibson, Dunn & Crutcher. She is co-chair of the firm’s Global White Collar Defense and Investigations, Financial Institutions, and Anti-Money Laundering Practice Groups. She is a former federal prosecutor and the former Director of the Enforcement Division at the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN). As a prosecutor, Ms. Brooker investigated and prosecuted a broad range of white collar and other federal criminal matters, briefed and argued criminal appeals, and served as the Chief of the Asset Forfeiture and Money Laundering Section in the U.S. Attorney’s Office for the District of Columbia. Ms. Brooker’s practice focuses on internal investigations, regulatory enforcement defense, white-collar criminal defense, and compliance counseling. She handles a wide range of white collar matters, including representing financial institutions, multi- national companies, and individuals in connection with criminal, regulatory, and civil enforcement actions involving sanctions; anti-corruption; anti-money laundering (AML)/Bank Secrecy Act (BSA); digital assets and fintech; securities, tax, and wire fraud, foreign influence; sensitive employee issues; and other legal issues. She routinely handles complex cross-border investigations. Ms. Brooker’s practice also includes BSA/AML and FCPA compliance counseling and deal due diligence and significant criminal and civil asset forfeiture matters. She is admitted to practice in the District of Columbia.
M. Kendall Day is a nationally recognized white-collar partner in the Washington, D.C. office of Gibson, Dunn & Crutcher, where he is co-chair of Gibson Dunn’s Global Fintech and Digital Assets Practice Group, co-chair of the firm’s Financial Institutions Practice Group, co-leads the firm’s Anti-Money Laundering practice, and is a member of the White Collar Defense and Investigations and Crisis Management Practice Groups. Prior to joining Gibson Dunn, Mr. Day had a distinguished 15-year career as a white collar prosecutor with the Department of Justice (DOJ), rising to the highest career position in the DOJ’s Criminal Division as an Acting Deputy Assistant Attorney General. In various leadership positions, from 2013 until 2018, Mr. Day supervised investigations and prosecutions of many of the country’s most significant and high-profile cases involving allegations of corporate and financial misconduct. He also exercised nationwide supervisory authority over the DOJ’s money laundering program, particularly any BSA and money-laundering charges, deferred prosecution agreements and non-prosecution agreements involving financial institutions. Mr. Day is licensed to practice in the Commonwealth of Virginia and the District of Columbia.
Adam M. Smith is a partner in the Washington, D.C. office of Gibson, Dunn & Crutcher and serves as co-chair of the firm’s International Trade Practice Group. As one of the nation’s leading international lawyers, Mr. Smith focuses on international trade compliance and white collar investigations, including with respect to federal and state economic sanctions enforcement, CFIUS, the Foreign Corrupt Practices Act, embargoes, and export and import controls. Mr. Smith previously served in the Obama Administration as the Senior Advisor to the Director of the U.S. Treasury Department’s Office of Foreign Assets Control (OFAC) and as the Director for Multilateral Affairs on the National Security Council. He is admitted to practice in the District of Columbia and Maryland.
Ella Alves Capone is Of Counsel in the Washington, D.C. office of Gibson, Dunn & Crutcher. She is a member of the White Collar Defense and Investigations, Global Financial Regulatory, and Anti-Money Laundering Practice Groups. Ms. Capone’s practice focuses on advising multinational corporations and financial institutions on Bank Secrecy Act/anti-money laundering (BSA/AML), anti-corruption, sanctions, and payments regulatory and enforcement matters. She has particularly extensive experience advising major banks, casinos, social media and gaming platforms, marketplaces, fintechs, payment service providers, and cryptocurrency businesses on regulatory compliance. Ms. Capone is admitted to practice in the District of Columbia and New York, as well as before the United States District Courts for the Eastern and Southern Districts of New York.
Chris Jones is a senior associate in the Los Angeles office of Gibson, Dunn & Crutcher and a member of the White Collar Defense and Investigations and Anti-Money Laundering Practice Groups. Mr. Jones has experience representing clients in a wide range of anti-corruption, anti-money laundering, litigation, sanctions, securities, and tax matters. He has represented various corporations, including a number of financial technology and cryptocurrency companies, in investigations by the DOJ, SEC, FinCEN, and OFAC. Mr. Jones is admitted to practice in the District of Columbia, California and New York.
MCLE CREDIT INFORMATION
This program has been approved for credit in accordance with the requirements of the New York State Continuing Legal Education Board for a maximum of 1.0 credit hour, of which 2.0 credit hours may be applied toward the areas of professional practice requirement. This course is approved for transitional/non-transitional credit.
Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 2.0 hours.
Gibson, Dunn & Crutcher LLP is authorized by the Solicitors Regulation Authority to provide in-house CPD training. This program is approved for CPD credit in the amount of 2.0 hours. Regulated by the Solicitors Regulation Authority (Number 324652).
Neither the Connecticut Judicial Branch nor the Commission on Minimum Continuing Legal Education approve or accredit CLE providers or activities. It is the opinion of this provider that this activity qualifies for up to 2 hours toward your annual CLE requirement in Connecticut, including 0 hour(s) of ethics/professionalism.
Application for approval is pending with the Colorado, Illinois, Texas, Virginia and Washington State Bars.
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