Title 31/AML compliance

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Title 31/AML compliance

4/13/2021 09:30 AM - 12:00 PM (CT)

Training Seminar Outline

Advanced Preparation: None
Level: Overview
Prerequisite: None
Field of Study: Specialized Knowledge
CPE*: 2.5 credit

Why attend

Title 31/AML Compliance is mandatory for any gaming operation with over $1M in revenue and must be strictly adhered to when protecting the assets of your tribe. This online seminar will provide guidance on continued compliance with existing Title 31 provisions.

Title 31/AML compliance can be significantly complex with the continued expansion of gaming and technology in several jurisdictions. By attending this training, you will learn how to develop sound Title 31/AML internal controls and how to train employees, as well as review examples of suspicious activities and case studies from our experience.

Description

This four-part webinar series will focus on tribal gaming and issues we frequently see in the industry. We will also focus on how COVID-19 has changed the industry and what that means for the future. In this session, we will be specific on the Title 31/AML Compliance and areas of risk.

Learning objectives:

1. Review Title 31/AML basics
2. Overview of suspicious activity and know your customer requirements
3. Identify emerging trends
4. Discover case studies

Who should attend?

This course is designed for compliance, Title 31/AML staff, BSA Compliance Officers, and internal auditors but can be beneficial to a wide variety of casino personnel. Some other positions that will benefit are gaming inspectors, gaming commissioners, general managers, departmental managers, finance department, revenue auditors and anyone who would benefit to be informed on the gaming commission best practices and surveillance function.

Trainers

• Joseph Busby, Chief Compliance Officer, Foxwoods Resort and Casino: Joe Busby has more than 15 years of experience in the gaming industry having worked in both tribal and commercial gaming in multiple jurisdictions His experience has been focused mainly in regulatory compliance including; internal and external audit, anti-money laundering, and risk assessments. Joe also has a background in surveillance, law enforcement and public accounting. He holds many certifications, including; Certified Internal Auditor (IIA), Certified Fraud Examiner (ACFE), Certified Anti-Money Laundering Specialist (ACAMS), Gaming Anti-Money Laundering Specialist (ICGIP), Certified Gaming Commissioner (NIGA), and a master’s degree in business management.
• Grant Eve, Partner, Wipfli

Registration Fee

$200 session/per person

Cancellation Policy

Notice of cancellation must be received 24 hours prior to start time of the webinar for a full refund of registration fees. If Wipfli cancels the webinar, you will be notified 24 hours prior to the webinar via email. All registration fees will be refunded. For questions or concerns, please contact Sophia Thompson at Sophia.thompson@wipfli.com or 406.205.4472.

CPE

To receive continuing professional education (CPE) credits (live webinars only), you will need to complete each polling question and click submit during the live training.

The webinar must be paid in full to receive CPE credits. You will receive a certificate via e-mail within 14 business days of the webinar presentation.

National Registry of CPE Sponsors: Wipfli LLP is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the national Registry of CPE Sponsors through its website: www.NASBARegistry.org.

Instructional Delivery: Group Internet-Based.  For more information regarding administrative policies, such as complaint, cancellation, and refund policies, please contact us.