This webinar has passed, but you can view the recording by registering here.

Identifying securities related to a sanctioned domicile or company is a straightforward concept, but in practice, it is a far more challenging task for compliance professionals.

Receiving a list of sanctions isn’t enough. In order to accurately define and maintain your ‘do not trade’ list, you need to identify all the securities related to each sanctioned entity – including those issued by domestic or foreign subsidiaries. Then there is the challenge of verifying beneficial ownership by sanctioned individuals.

Getting it right is essential to avoiding significant fines and reputational damage, but also enables you to confidently exploit investment opportunities in non-sanctioned securities.

In this webinar we will discuss:

  • Issues and challenges involved in building and managing lists of sanctioned securities
  • Approaches to getting it right and ensuring you’re in compliance with global sanctions regimes
  • Tactics for reducing data errors and avoiding fines related to sanctions violations

Registration is limited to financial institutions.


Moderator: Sarah Underwood, Editor, A-Team Group

David Savage, Senior Associate - Fraud and Investigations Group, Eversheds LLP

Sean Friedly, Senior Manager, Head of Financial Crimes Management Governance, Raymond James Financial

Alexander Dorfmann, Senior Product Manager, SIX Financial Information

More About Our Speakers:

David Savage
Senior Associate - Fraud and Investigations Group
Eversheds LLP

David is a Senior Associate at Eversheds LLP where he specialises in international sanctions, advising on the impact, both commercially and legally, in respect of sanctions imposed by the UN, the EU, the US and jurisdiction-specific regimes. He acts for those involved in the international movement of goods and people and those involved in financing such movement.

Sean Friedly
Senior Manager, Head of Financial Crimes Management Governance
Raymond James Financial

Sean Friedly is head of Financial Crimes Management Governance at Raymond James, where he is also Sanctions Compliance Officer, directs the firm’s anti-bribery/anti-corruption efforts and leads its AML, Fraud, and Higher Risk Securities governance activities.

Sean’s financial services background with E&Y and RBS Citizens Financial supplements his undergraduate and graduate studies in global politics, policy and economics and independent coursework in international trade, banking/monetary policy, financial management, policy and regulation and a variety of economics disciplines, all of which accentuate his keen insight into preventing international financial crime. Sean has also earned the internationally respected CAMS designation from ACAMS, further demonstrating his commitment to AML.

Alexander Dorfmann
Senior Product Manager
SIX Financial Information

Alexander Dorfmann recently became Director of Product Management at SIX Financial Information, where he is responsible for Risk and Regulation.  He is currently working on projects focusing on investor protection and sanctions monitoring. Over the last 20 years, Alexander has worked in New York, London, Zurich and Vienna in roles specializing in technology solutions for risk management.

Alexander has worked for financial institutions, consulting firms and vendors, including Erste Bank, Raiffeisen and SAS. His risk and technology experience covers a broad range of compliance challenges such as Dodd-Frank, credit, market and liquidity risk as well as regulatory tasks focusing on governance and compliance. Most recently, he established a MiFID II solution and has focused on data management issues driven by regulations such as BCBS 239.

As a thought leader and subject matter expert, Alexander regularly contributes to financial publications taking on specific research projects with leading universities on topics such as reputational risk and real-time credit decision making.

Alexander holds a degree from the University of Economics, Vienna.


Back to