William Sweeney at the DTCC. This is and should be the guy that CLDR should be dealing with... In reference to latest blog posting on CLDR website.
Question why is this guy not allowed to release info? I smell something rotten here!
Current•Manager- Compliance at Depository Trust and Clearing Corporation
Education•Brooklyn Law School
IndustryBanking
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William Sweeney’s Experience
Manager- Compliance
Depository Trust and Clearing Corporation
(Banking industry)
January 2008 — Present (3 years 2 months)
•Conduct internal Suspicious Activity Report (SIR) investigations specializing in microcap securities fraud;
•Liaison with Law Enforcement and Regulators regarding investigations as required;
•File Suspicious Activity Reports with FinCen
•Instrumental in the development and implementation of DTCC OCRC investigative procedures, processes, and training including but not limited to the development and implementation of corporate 314 b procedures, the development of standardize investigative processes and procedures, designing and implementing training and awareness programs for DTC Operations areas, and advising DTC Operations areas in the development and modification of their procedures to comply with DTCC regulatory policies.
•Work closely with AML Surveillance Director related to transactional activity;
•Work with Legal Counsel Division related to subpoenas and other legal matters;
•Point of contact for 314(b) requests;
•Act as reference point for business areas and provide guidance with regulatory matters;
•Interact with external and internal auditors as required;
•Conduct Quality Assurance Reviews on Investigators cases as needed
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William Sweeney’s Education
Brooklyn Law School
JD , Law , 1986 — 1991
