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FOR
ARGENTINA COMISIÓN NACIONAL DE VALORES
Anti-Money Laundering and
Enforcement in the Capital Markets
Agenda
Buenos Aires, Argentina
Enforcement Priorities
1. New Argentina Securities Law and potential
amendments
2. Compulsory power for testimony/documents
3. Complaints tips and referrals
4. Whistleblower/cooperation program
5. MOU with FIU
6. Failure to supervise violation
7. Handling bribery/corruption cases
8. Asset freezes
9. Protection for staff/officials
10. Manuals/forms
Z. Scott Birdwell
Assistant Director
U.S. Securities and Exchange Commission
Julie Preuitt
Senior Special Advisor
U.S. Securities and Exchange Commission
12:30 Lunch
3:30 Break
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3:45 Meeting with CNV Legal Staff
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Workshops for CNV Staff and Select Invited Agencies
Tuesday, December 11
CNV Officials
US Treasury Staff
Z. Scott Birdwell
Assistant Director
U.S. Securities and Exchange Commission
Julie Preuitt
Senior Special Advisor
U.S. Securities and Exchange Commission
Speaker: Birdwell
10:45 Break
Speaker: Preuitt
12:30 Lunch
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2:00 Overview of Anti-Money Laundering and the Securities Industry
3:30 Break
Speaker: Birdwell
Wednesday, December 12
Speaker: Birdwell
10:30: Break
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Speaker: Preuitt
12:30 Lunch
Speaker: Birdwell
3:15 Break
Speaker: Preuitt
Thursday, December 13
Speaker: Birdwell
10:30 Break
Audience Participation
Speaker: Preuitt
12:00 Lunch
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2:00 Cultivating Cooperation Between Regulatory Authorities and the
Industry
1. Whistleblower programs
2. Credit for cooperation
3. Failure to supervise
Speaker: Birdwell
3:15 Break
Friday, December 14
12:00 Lunch
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Inspection/Examination Related Forms for
Use and Discussion During Program
8. Enforcement Manual
9. Sample subpoena
10. Notice to Entities Subject to compulsory process by the Commission and
Required to Submit Information
11. Complaint, Tip and Referral Form
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INFORMATION ON THE SPEAKERS
Z. Scott Birdwell is an Assistant Director in the Office of International Affairs, U.S. Securities
and Exchange Commission. Mr. Birdwell manages the SEC’s technical assistance programs for
foreign securities and law enforcement authorities, and works on international enforcement
investigations and proceedings involving violations of both U.S. and foreign securities laws. In
this capacity he has participated in SEC technical assistance missions in over 25 countries, and
worked on over 100 international investigations and prosecutions involving insider trading,
financial reporting fraud, boiler-rooms, pyramid schemes, and market manipulation. Prior to
joining the SEC in 1999, Mr. Birdwell served as a counsel in the Trial Section at the Federal
Deposit Insurance Corporation, where he worked for ten years during the U.S. banking crisis of
the early 1990’s. He is the author of: Key Elements for Developing a Securities Market to
Drive Economic Growth, GA J. INT’L & COMP L. Vol. 39:535 (Spring 2011). He obtained his
law degree from The University of Georgia School of Law, Athens, Georgia, in 1989.
Julie A. Preuitt – is Senior Special Advisor in the Office of International Affairs. She
previously served as an Assistant Regional Director in the SEC’s Office of Compliance,
Inspections and Examinations, supervising both broker-dealer and investment advisor
examinations in the SEC’s Fort Worth, Texas Office. During her over twenty year tenure with
the SEC, Ms. Preuitt has focused her career on identifying fraudulent activities that threaten
investors and the market, and bringing those activities to the attention of senior executives within
the SEC and the US Congress. Notable examples include Ms. Preuitt's work on identifying risks
that were instrumental in the development of FINRA's day-trading rules, and identifying
fraudulent sales practices to the military which resulted in Congress outlawing periodic payment
plans. Ms. Preuitt identified and developed dozens of fraud cases, many of them novel at the
time, including mutual fund and college savings plan share class issues, variable annuity
switching, “pay to play” activities in municipal bonds, and complicated Ponzi schemes including
Stanford International Bank. Ms. Preuitt’s recent efforts have focused on rooting out oil and gas
fraud at both the issuer and the selling agent level. While living on Okinawa, Japan, Ms. Preuitt
graduated with honors in 1990 from University College University Maryland with a BA in
business with an emphasis in accounting.
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