Effective Steps to Combat Money Laundering Thursday, December 3 9:45 a.m. 10:45 a.m.

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1 Effective Steps to Combat Money Laundering Thursday, December 3 9:45 a.m. 10:45 a.m. Join industry practitioners and FINRA staff as they discuss money laundering risks and vulnerabilities, including bank-like activity, direct market access from high-risk jurisdictions, micro-cap securities, and suspicious activity reporting obligations and expectations. FINRA staff will also discuss current trends in AML and the Office of Foreign Assets Control (OFAC) enforcement actions. Jason Foye Examination Manager FINRA AML Investigative Unit Edward Balsmann Chief Compliance Officer Tudor, Pickering, Holt & Co., LLC Jeffrey Horowitz Managing Director and Chief Compliance Officer Pershing, LLC Alistair Johnston Surveillance Director FINRA New Orleans District Office 2015 Financial Industry Regulatory Authority, Inc. All rights reserved. 1

2 Effective Steps to Combat Money Laundering Panelist Bios: Jason Foye is an examination manager in FINRA's Anti-Money Laundering Investigations Unit (AMLIU). He manages a team of seven examiners located throughout the country, and has responsibility for managing AMLrelated examinations conducted by the AMLIU and consulting with other FINRA staff on AML issues. In addition to his exam-related responsibilities, Mr. Foye provides training to district staff on trends and best practices, including analytical techniques used by AMLIU staff during examinations. Mr. Foye has been with FINRA for seven years and worked as an examiner in both the Florida District and AMLIU. Jason is both a Certified Anti- Money Laundering Specialist (CAMS) and a Certified Fraud Examiner (CFE). Ed Balsmann serves as the Chief Compliance Officer for the Tudor, Pickering, Holt & Co. family of companies, which include two institutional broker-dealers, a registered investment adviser and affiliated companies in the United Kingdom and Canada. Mr. Balsmann has over sixteen years of experience working for and with financial services firms, including institutional and retail broker/dealers, registered investment advisers, banks, private equity firms and private fund advisers. He joined Tudor, Pickering, Holt & Co. in August of 2010 and is currently a member of the FINRA District 6 Committee. Mr. Balsmann previously served as the general counsel and chief compliance officer at CSG Holdings, LLC in Memphis, Tennessee. Prior to that, he was an attorney with Baker, Donelson, Bearman, Caldwell & Berkowitz, PC in Memphis, Tennessee where he specialized in broker-dealer, investment adviser and investment company matters. From 2000 through 2004, he served as compliance attorney for the Equity Capital Markets division at Morgan Keegan in Memphis, Tennessee and eventually went on to serve as deputy general counsel of regulatory affairs at the firm. He holds a BSBA in finance from Southeast Missouri State University and a JD from the University of Mississippi, School of Law. Jeff Horowitz is a Managing Director and Chief Compliance Officer for Pershing LLC a BNY Mellon company. Mr. Horowitz previously served as the Chief Anti-Money Laundering (AML) and OFAC Officer for Pershing, where he was responsible for the development and implementation of the firm s global AML Program across the Pershing enterprise. Mr. Horowitz has represented Pershing as a securities industry representative to the U.S. Treasury Department s Bank Secrecy Act Advisory Group (BSAAG) and was also a past co-chair of the Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering Committee. He has also served as the BSAAG co-chair of the Securities and Futures Subcommittee. Mr. Horowitz is an active member of the International Council of Securities Association group on AML and the Foreign Account Tax Compliance Act (FATCA) and serves on the Florida International Bankers Association AML Compliance Conference Advisory Committee as well the Association of Certified Anti- Money Laundering Specialists Annual AML & Financial Crime Conference Task Force. Mr. Horowitz currently represents Pershing on SIFMA s Compliance and Regulatory Policy Committee. Prior to joining Pershing, Mr. Horowitz was a Director and Head of AML Compliance for Citigroup s Corporate and Investment Banking Division in North America. His responsibilities included the Institutional Sales and Trading Departments of Citigroup Global Markets Inc., Investment Banking, Global Relationship Banking and Global Transaction Services. Prior to joining Citigroup, Mr. Horowitz held several senior compliance roles at Lehman Brothers, Goldman Sachs and Salomon Brothers Inc. He began his career at the Federal Deposit Insurance Corporation (FDIC) in the Division of Resolutions. Mr. Horowitz earned a Bachelor of Science degree in Economics from Trenton State College. He has also completed the Securities Industry Institute program, sponsored by the Securities Industry and Financial Markets Association, at the Wharton School of the University of Pennsylvania. Alistair E. Johnson, Surveillance Director in FINRA s New Orleans District Office, manages Regulatory Coordinator staff responsible for the ongoing financial monitoring, sales practice surveillance and examination planning for member firms in the New Orleans District. Prior to becoming Surveillance Director, she was a Senior Regulatory Specialist in FINRA s Regulatory Programs Group working on the development and support of FINRA s National Examination Program. This included authoring and approving examination policies and procedures on a variety of topics. She also serves as an Anti-Money Laundering Regulatory Specialist and has been involved in most aspects of interpretation and enforcement of FINRA and federal AML rules. She has designed and conducted AML training for both FINRA staff and the financial services industry. She is also a frequent speaker on the topic of AML. Prior to joining Regulatory Programs in 2006, she was a Special 2015 Financial Industry Regulatory Authority, Inc. All rights reserved. 2

3 Investigator in the New Orleans District Office since 1999, conducting cycle, sweep and cause examinations. Ms. Johnson received her B.A. degree from Tulane University in New Orleans. She is also a designated Certified Regulatory and Compliance Professional (CRCP ) and Certified Anti-Money Laundering Specialist (CAMS) Financial Industry Regulatory Authority, Inc. All rights reserved. 3

4 South Region Compliance Seminar December 2-3, 2015 New Orleans, LA Effective Steps to Combat Money Laundering

5 Panelists Jason Foye, Examination Manager, FINRA AML Investigative Unit Edward Balsmann, Chief Compliance Officer, Tudor, Pickering, Holt & Co., LLC Jeffrey Horowitz, Managing Director and Chief Compliance Officer, Pershing, LLC Alistair Johnston, Surveillance Director, FINRA New Orleans District Office South Region Compliance Seminar 2015 FINRA. All rights reserved. 1

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