Behind the Headlines: The TD Bank AML Case and it's Implications for Financial Compliance

Description

This webinar will delve into the high-profile TD Bank AML case, exploring the intricate details and significant implications for financial compliance in today’s regulatory landscape. Join us as we examine the circumstances that led to the scandal, the regulatory response, and the critical lessons that financial institutions must learn to strengthen their compliance frameworks. Our expert panel will provide insights into the evolving nature of anti-money laundering practices and the importance of robust governance in mitigating risks.

This webinar provides one-hour of CPD and offers insights and updates from a leading industry-expert speaker. 

Delegates places are interchangeable with colleagues from the same organisation.

 

Content

  • Examine the TD Bank AML case’s core issues and the factors leading to regulatory scrutiny

  • Understand key compliance failures identified and regulatory responses to the case

  • Learn best practices for reinforcing AML controls to mitigate similar risks

  • Assess the implications of this case for anti-money laundering policy and compliance

  • Gain actionable insights for improving governance frameworks to prevent compliance lapses

 

Presenter

Zoya Ashirov

Associate Partner, Financial Services at Sia Partners
Zoya Ashirov 

Zoya is an Associate Partner in our Financial Services Practice leading the Legal and Compliance unit.  As a former securities regulator, she has almost 20 years of experience across capital markets and management consulting with deep expertise in risk and regulatory compliance functions.  Her core competencies are Regulatory Remediation and Change Management, Risk and Regulatory Governance, Regulatory Assessment and Advisory, Operational Risk & Control, and Compliance Strategy.

Zoya is passionate about personal and collective growth and is a firm believer that an important way to continue developing and growing as a professional is to help others along their journey. As part of that belief, Zoya enjoys mentoring and coaching others and learning from everyone she has the opportunity to interact within a professional setting.

Prior to Sia Partners, Zoya managed a team of examiners in FINRA’s New York District office, conducting regulatory examinations of the largest, most complex, and most problematic broker-dealers in New York. Her 12 years at FINRA were spent across several units, including Member Supervision and Membership, where she was instrumental in bringing multiple enforcement actions against broker-dealers for failures across Supervision, Internal Controls, and Compliance functions. Prior to FINRA, Zoya spent several years underwriting mortgage loans at New York area financial institutions. She holds a BBA from Baruch College.