This 45-minute webinar discusses key lessons from recent anti-money laundering enforcement actions against broker-dealers by the U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority. The presentation provides a broad summary of anti-money laundering obligations for broker-dealers while focusing on how recent enforcement actions reflect heightened expectations with regard to those obligations.
Download the materials here.
- Anti-Money Laundering Overview
- SEC and FINRA
- SEC Enforcement
- FINRA Enforcement
- Enforcement Focus
- Suspicious Activity Reports
- Wire Transfers and Correspondent Accounts
- AML Program Tailored to a Firm's Business
- Adequate Resources to Address AML Risk
- Individual Liability
Speaker: Noman A. Goheer