Combating Threats to the International Financial System: The Financial Action Task Force

Financial Action Task Force: Speakers

 

Speakers at this event include:

Shima Baradaran is an Associate Professor of Law at the University of Utah, S.J. Quinney College of Law.  Prof. Baradaran’s teaching and scholarship focus on criminal law, criminal procedure, evidence and international law. Voted Professor of the year in 2012, she joined the faculty of the University of Utah after three years of teaching at BYU Law School.  Her current scholarship examines prosecutors, prediction, search and seizure, international law and terrorism, and race and violent crime.  Her work has been featured in the New York Times, on National Public Radio and other media outlets.  Her most recent articles are Funding Terror, University of Pennsylvania Law Review (forthcoming), Rebalancing the Fourth Amendment, Georgetown Law Journal (forthcoming), Predicting Violence, Texas Law Review, Race, Prediction & Discretion, George Washington Law Review, and Does International Law Matter?, Minnesota Law Review.  She serves on the AALS Criminal Justice Section Executive Committee and as the Chair of the ABA Pretrial Justice Taskforce and Co-chair of the Committee on Crime Prevention, Pretrial Release & Police Practices. Before joining the legal academy, Prof. Baradaran served as a Fulbright Senior Scholar researching pretrial detention in Malawi and lecturing in criminal law at the University of Malawi. While in Malawi she worked as a justice advisor to the British Department for International Development, advised a coalition of international nongovernmental organizations including UNAIDS and UNDP, and represented criminal defendants in felony cases and in constitutional litigation.

Jean-Paul Duvivier is a Director in the Risk and Regulatory Advisory Services practice at PricewaterhouseCoopers LLP.  He works closely with other members of the firm’s anti-money laundering (AML) team and coordinates with PwC’s forensics and technology advisory practices on regulatory compliance issues.  Mr. Duvivier has primarily focused on U.S and foreign sanctions regulations, AML compliance, and responses to U.S. Treasury Department enforcement efforts.  In 2013, Mr. Duvivier  completed 12 years with the U.S. Treasury where he handled OFAC sanctions investigations and enforcement, conducted outreach to compliance officials in the U.S. and international financial and export sectors, and served as a senior policy advisor to U.S. officials in Washington, DC and at U.S. embassies abroad.  He has conducted significant investigations and provided senior-level counter illicit finance policy guidance relating to narco-trafficking, terrorism, proliferation, organized crime, and country sanctions programs.  During his career with the federal government, Mr. Duvivier was based in Washington, D.C., Germany, China, and Colombia and acquired a broad understanding as well as specific technical knowledge of U.S. and international approaches to AML and sanctions enforcement.  While at the U.S. Treasury, he participated in a wide variety of U.S. and international training events and seminars, including the Financial Action Task Force’s (FATF) Anti-Money Laundering/Counter Financing of Terrorism (AML/CFT) assessor course, which focuses on the global AML/CFT standards, including legal and preventive measures to counter financial crime, and the assessment methodology for country-specific evaluations.  The FATF standards address illicit finance threats as well as key risks and vulnerabilities faced by governments and financial system actors. Since 2001, Mr. Duvivier has spoken on OFAC sanctions programs and U.S. efforts to combat financial crime at numerous banking and government conferences overseas and in the U.S.  Prior to the federal government, he  spent four years in private banking, with British and Swiss firms.

Saby Ghoshray is Regulatory Risk & Compliance advisor with WorldCompliance, and President of the Institute of Interdisciplinary Studies.  With more than a decade of transactional experience with premier investment banks, Big Four consulting firms and fortune 50 corporations, Dr. Ghoshray’s current advisory work revolves around emerging regulatory landscape. After managing compliance and regulatory initiatives at the UBS Investment Bank, his current consulting work for banks and financial institutions ranges from adherence to Foreign Corrupt Practices Act (FCPA), the Financial Action Task Force’s (FATF) Anti-money laundering (AML) and combating Financing of Terrorism (CFT), to implementing FATF’s risk-based approach and effective due diligence on sanctioned entities and Politically Exposed Persons (PEP) in accordance with FCPA, FATF and OFAC regulations. Besides donning various executive positions from Global Mergers & Acquisitions to Corporate Compliance, most recently with WorldCompliance, Dr. Ghoshray founded the Institute of Interdisciplinary Studies to foster and disseminate advanced legal scholarship premised on multi-disciplinary approach. An extensively sought out legal commentator, having published in over a hundred law reviews, peer-reviewed journals and book chapters, his expertise in constitutional law and deep knowledge of several non-legal disciplines allows him to consult on various post-conviction and appellate issues.   Dr. Ghoshray dissects legal issues through a unique blend of legal formalism and cutting edge multi-disciplinary approach. His main scholarship searches for equality in the legal process vis-à-vis the prism of gender, class and ethnicity, which is echoed in his work on various subsets of International Law, Constitutional Law, and Corporate Law & Comparative Corporate Governance, among others. His work has been published in various prestigious journals, such as the Albany Law Review, ILSA Journal of International and Comparative Law, Fordham International Law, European Law Journal ERA-Forum, Temple Political & Civil Rights Law Review, Catholic Law Journal, Loyola Law Journal, Michigan State International Law Journal, and Georgetown International Law Review.

Karen Hawkins is the Director of the IRS Office of Professional Responsibility.  Ms. Hawkins was in private practice at the Oakland, California law firm of Taggart & Hawkins where she specialized in civil and criminal tax controversy cases for nearly 30 years prior to taking her current position in April, 2009. She has been a frequent speaker and writer on a variety of diverse tax law topics including: Innocent Spouse Relief, Attorney’s Fees Awards; Collection Due Process; Civil and Criminal Tax Penalties; Tax Court Litigation; International Tax issues and Ethics in Tax Practice. Ms. Hawkins has a number of reported precedent-setting tax cases to her credit in the U.S. Tax Court and Ninth Circuit Court of Appeals. Ms. Hawkins holds several degrees including: MBA in Taxation, J. D. and M.Ed. Among her many honors and awards are: V. Judson Kelin Award from the California Bar’s Taxation Section and the National Pro Bono Award from the ABA’s Taxation Section.

Nick Kazmerski is Counsel with the Enforcement Section of the Federal Deposit Insurance Corporation.   Mr. Kazmerski has twenty years of experience in the area of financial services supervision, enforcement and litigation.   He is a recognized subject matter expert regarding anti-money laundering/anti-terrorist financing controls and regulation, Bank Secrecy Act, financial services regulation and enforcement.   He has worked on several high profile industry-wide enforcement matters while with the FDIC and has been the recipient of several awards.  He is a frequent guest speaker at training seminars and events.  He is a member of the ongoing inter-agency AML task force responsible for reviewing existing AML laws and regulations and issuing recommendations concerning proposed changes and modifications.   He is a member of the FATF task force working group and the Delta (financial crime task force) working group.    He provides inter-agency training in the area of BSA/AML and regulatory enforcement.   He is a Certified Regulatory Compliance Manager, Certified Anti-Money Laundering Specialist and a Certified Fraud Examiner.    Mr. Kazmerski is a published author on topics including financial services regulation and enforcement.    His article “Applying Anti-Money Laundering and Anti-Terrorist Financing Controls to the United States Legal Profession:  A Response to the Senate Permanent Subcommittee Report on the Proceeds of Foreign Corruption” is published in the Dartmouth Law Journal.  Previous to joining the FDIC, Mr. Kazmerski practiced trial litigation in private practice with numerous successful jury and non-jury trials, including several successful million dollar cases.   He has lectured on trial advocacy, including at the Chicago-Kent College of Law.   Mr. Kazmerski is also an avid triathlete and competes in races around the country.   He is currently training for the Vineman Full Ironman in July of 2014.

William LaPiana is the Rita and Joseph Solomon Professor of Wills, Trusts, and Estates Director, Estate Planning, Graduate Tax Program at New York Law School.  Professor LaPiana holds both a Ph.D. in History and a J.D. from Harvard, where he also received his B.A. and an M.A. After graduating from Harvard Law School in 1978, Professor LaPiana, who is originally from suburban Buffalo, spent four years as an associate at Davis Polk & Wardwell in New York.  Professor LaPiana joined the faculty at New York Law School in 1987. In 1993, he was named the Rita and Joseph Solomon Professor of the Law of Wills, Trusts and Estates. Professor LaPiana also has been active with the trusts and estates sections of both the New York State and the American Bar Associations, and is an academic fellow of the American College of Trust and Estate Counsel, serving on its Committees on State Laws and Legal Education. He is also a member of the American Law Institute and served on the Members Consultative Groups for the Restatements (Third) of Trusts and of Property (Donative Transfers). Since 2009 he has been a member of the Office of Court Administration Surrogates Court Committee and has served on the New York City Bar Associations Surrogates Court and Trusts and Estate Committee since 2011. Prof. LaPiana was the reporter for the revised Uniform Disclaimer of Property Interests Act, which was promulgated by the Uniform Law Commission in 1999 and has been adopted in fifteen states, the District of Columbia, and the Virgin Islands. He was the American Bar Association advisor to the drafting committee for the Uniform Power of Attorney Act promulgated in 2006.

Peter Margulies is a Professor of Law at Roger Williams University School of Law.  Professor Margulies teaches Professional Responsibility, National Security Law, and International Law at Roger Williams University School of Law and wrote Law’s Detour: Justice Displaced in the Bush Administration (NYU Press 2010).  A contributor to the Lawfare blog, Professor Margulies advocates a third way that reconciles effective counterterrorism and individual rights.  Professor Margulies has served as co-counsel for amici curiae in a number of Supreme Court cases, including Holder v. Humanitarian Law Project, 130 S. Ct. 2705 (2010) (upholding statute prohibiting material support of terrorism); and Padilla v. Kentucky, 559 U.S. 356 (2010) (holding that effective assistance of counsel under Sixth Amendment includes competent advice about immigration consequences of criminal conviction).  Recent scholarship includes Taking Care of Immigration Law: Presidential Stewardship, Prosecutorial Discretion, and the Separation of Powers, 94 B.U.L. Rev. _ (forthcoming 2014), available at http://ssrn.com/abstract=2215255.

Duncan Osborne is President of ACTEC and a Partner at Osborne, Helman, Knebel & Deleery LLP.  His core practice is domestic and international estate planning with an emphasis on asset protection planning. A former adjunct professor of law at The University of Texas School of Law, Mr. Osborne devotes significant energy to lecturing and writing in his practice areas as well as helping clients with regard to all aspects of their estate planning.  He is a frequent author and lecturer on estate planning topics and has made presentations and published articles both domestically and internationally on the subjects of offshore trusts and asset protection planning.  One of the pioneers in the field of asset protection, Mr. Osborne conceived and was the original editor and a contributing author of the four-volume treatise, Asset Protection:  Domestic and International Law and Tactics, published by West Group in 1995 (a loose leaf service updated quarterly).  He was also the founding chair of the American Bar Association’s Asset Protection Committee.  Mr. Osborne is retained by foreign governments and financial institutions to advise them on trust and tax issues.  He has also been called upon to serve as an expert witness on both sides of the docket in cases involving asset protection planning.

Michael Rosen is a Policy Advisor with the U.S. Department of the Treasury, Office of Terrorist Financing and Financial Crimes (TFFC) for the past seven years. His work centers on developing and implementing anti-money laundering/countering the financing of terrorism (AML/CFT) policies and procedures, with a focus on non-federally regulated “gatekeeper” professions such as attorneys, accountants, and real estate agents. Mr. Rosen also supports the U.S. Government delegation to the Financial Action Task Force, an intergovernmental body, which is responsible for setting and evaluating implementation of international AML/CFT standards for the financial sector and gatekeepers. Mr. Rosen previously served as TFFC attaché at the U.S. Mission to the European Union in Brussels.  He holds a J.D. from the SUNY Buffalo Law School. 

John P. Sahl is a Professor of Law and Faculty Director of The Joseph G. Miller and William C. Becker Center for Professional Responsibility at the University of Akron School of Law. Professor Sahl is also a fellow of both the Intellectual Property and Constitutional Law Centers. His research interests include professional ethics, legal malpractice, lawyer discipline, judicial ethics and administration, cinema and the legal profession, and sports and entertainment law. He has authored articles and book chapters concerning professional responsibility and he has also published the textbook, Evidence Problems and Materials (4th Edition with Steven Friedland). Professor Sahl is a frequent national and international speaker, consultant and expert witness on professional responsibility matters. He served as senior counsel to the U.S. Senate Judiciary Committee’s Subcommittee on the Constitution, Federalism and Property Rights. Professor Sahl clerked for the chief judge of the U.S. Court of Appeals for the Tenth Circuit, The Honorable William J. Holloway, Jr., and managed the business and legal affairs for Ambience, Inc.  Professor Sahl is Chair of the Publications Board of Editors for the ABA Center for Professional Responsibility and serves on the Center’s Michael Franck Professional Responsibility Award Selection Committee. He was also a member of the ABA Standing Committee on Professional Discipline and was appointed to the ABA Commission on Ethics 20/20 Inbound Foreign Lawyer Working Group and its Uniformity, Choice of Law and Conflicts of Interest Working Group. Professor Sahl has also served as Chair of the American Association of Law Schools Professional Responsibility Section. By appointment of the Ohio Supreme Court, Professor Sahl served a three-year term on the Commission for the Unauthorized Practice of Law.  He also has served as a member of the Ohio Bar Association’s Future of the Legal Profession Advisory Committee.   

Houman Shadab is a Professor of Law and Director of the Center for Business and Financial Law at New York Law School.  Professor Shadab is an internationally recognized expert in financial law and regulation whose research focuses on hedge funds, derivatives, and securitization. He also serves as the Editor-in-Chief of the Journal of Taxation and Regulation of Financial Institutions and blogs at Lawbitrage. Professor Shadab has testified before Congress on the compensation of public company executives, reverse mortgage securitization, and on the role of hedge funds in the financial crisis. Professor Shadab is the author of numerous academic articles published in journals such as the New York University Journal of Legislation and Public Policy and the Berkeley Business Law Journal. He is frequently asked to contribute to authoritative works including book chapters on hedge fund lending, credit default swaps, and short selling for books published by Oxford University Press, Elsevier, and Wiley Finance. Governmental authorities worldwide have cited Professor Shadab’s research, including the Delaware Court of Chancery, the 11th Circuit Court of Appeals, the U.S. Congressional Oversight Panel, the U.K. House of Lords, the European Parliament, and the Central Bank of Ireland’s Director of Markets Supervision. Professor Shadab has been quoted in numerous media publications including the New York Times, the Financial Times, and the Washington Post, and has appeared on Bloomberg Television. He serves on the Advisory Board of the NY Business Law Journal and is an affiliated Scholar with George Washington University’s Regulatory Studies Center. Professor Shadab is also a member of the New York and California bars and previously practiced law with Ropes & Gray in New York City and Latham & Watkins in Los Angeles.

Kevin L. Shepherd is a partner in Venable LLP’s Real Estate Practice Group, one of the preeminent real estate practices in the nation. Mr. Shepherd represents large national and multinational institutions in complex real estate transactions. Mr. Shepherd holds significant leadership positions at Venable and other law-related organizations. Mr. Shepherd is chair of Venable’s Finance Committee, which committee oversees the firm’s financial operations, policies, and procedures, and serves as co-chair of the firm’s Real Estate Practice Group. Mr. Shepherd previously chaired the ABA Section of Real Property, Trust and Estate Law, and he is the current president of the American College of Real Estate Lawyers. Mr. Shepherd is a member of the Anglo-American Real Property Institute, an organization comprised of 50 United States real estate lawyers and 50 United Kingdom real estate barristers and solicitors. Mr. Shepherd has served on a number of task forces and committees, including the ABA Task Force on Gatekeeper Regulation and the Profession and the ABA Standing Committee on Publishing Oversight. Mr. Shepherd is a former editor-in-chief of Probate & Property, the highly regarded bi-monthly magazine of the ABA Section of Real Property, Trust and Estate Law as well as has authored numerous academic articles such as The Financial Action Task Force, the Gatekeeper Initiative, and the Risk-Based Approach to Client Due Diligence. Mr. Shepherd has been selected as one of America’s leading Real Estate lawyers by Chambers and Partners. One of only ten attorneys worldwide, Mr. Shepherd is recognized in The International Who’s Who of Real Estate Lawyers’ list of “Most Highly Regarded Individuals.” Mr. Shepherd is also a recipient of the American Jurisprudence Awards for Excellence in Contracts, Evidence, Criminal Law.”

John A. Terrill, II is a Partner at Heckscher Teillon Terrill & Sager, PC.  Mr. Terrill’s practice largely focuses on estate planning for clients with complex assets, such as businesses, real estate, and other significant assets. He is a nationally recognized authority on asset protection planning, which involves estate planning with attention given to the preservation and protection of assets from undue exposure to litigation or other claims. His practice also includes charitable planning (particularly creating and operating foundations), estate settlement, and fiduciary litigation. He is also frequently engaged as an expert witness in matters involving estate and trust litigation. Mr. Terrill is a member of the American Bar Association and its Real Property, Probate, & Trust Law, Taxation, and Law Practice Management Sections; the Pennsylvania Bar Association and its Real Property, Probate, & Trust Law Section; the Philadelphia Bar Association; and the Philadelphia Estate Planning Council. He has been listed as a top trust and estate lawyer in Philadelphia’s Best Lawyers, named a Pennsylvania Super Lawyer by Philadelphia Magazine, and received the highest rating for legal ability and ethical standards from LexisNexis Martindale-Hubbell Peer Review Rating. Jack is a fellow of the American College of Trust and Estate Counsel where he currently serves as a Regent. He was the founding chair of ACTEC’s Asset Protection Committee and is a member of the College’s State Laws, Asset Protection and Legal Education committees. He also chairs ACTEC’s Task Force on FATF (the Financial Action Task Force). He continues to teach and speak on asset protection planning, environmental liability of executors and trustees, the impact of FATF on law practice, stock options and related estate planning, the use of DNA testing in estate litigation, and more.   

Laurel S. Terry is the Harvey A. Feldman Distinguished Faculty Scholar and Professor of Law at Penn State’s Dickinson School of Law.  Professor Terry is a scholar of legal ethics and the international and inter-jurisdictional regulation of the legal profession. A three-time Fulbright grant recipient, her research interests include global regulatory initiatives, including recent structural reforms in Australia and the UK, the application of the World Trade Organization’s GATS agreement to legal services, lawyer confidentiality and the Financial Action Task Force (FATF) recommendations, and the effect of the Bologna Process on legal education. An elected member of the American Law Institute, Professor Terry is active in international, national, and state organizations involved with lawyer regulation. As a member of the International Bar Association International Trade in Legal Services Working Group, she has represented the IBA before the WTO and the United Nations. Professor Terry has served as a special advisor to the ABA Task Force on International Trade in Legal Services and as a consultant to the Conference of Chief Justices’ International Agreements Committee. She also served on the International Legal Education Committee of the ABA Section of Legal Education and Admissions to the Bar and the Pennsylvania Bar Association’s legal ethics committee.  Professor Terry organized the 2010 AALS Program on FATF  and the legal profession, which was published as the 2010 Symposium Issue of the Journal of the Professional Lawyer.   Professor Terry maintains a personal webpage that includes global legal practice resources and global legal practice-related presentation slides.

Nicholas Turner is a compliance associate in the anti-money laundering division at Citi and currently works in Los Angeles.  Mr. Turner is a 2012 graduate of New York Law School and a recipient of the school’s Alfred L. Rose Award for Excellence. He was a Notes and Comments Editor for the Law Review from 2011 to 2012. His note, Dodd-Frank and International Regulatory Convergence: The Case for Mutual Recognition, was published in Volume 57 of the Law Review last year. It received both the Otto L. Walter Distinguished Writing Award and the Ernst C. Stiefel Writing Award for comparative law. His article, “Regulation E: Compliance Challenges under the CFPB’s Remittance Transfer Rule,” was published in the Journal of Taxation and Regulation of Financial Institutions in 2013. Mr. Turner is also a member of the NYLS Alumni Association’s board of directors and an alumni co-chair for the Compliance Working Group, which promotes networking and career opportunities for NYLS students and alumni in the field of compliance. The CWG co-hosted a successful AML Job Fair at the school in November.