Focus on Anti-Money Laundering Enforcement at the SEC and FINRA

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.

Webinar Topics 

  • 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

For CLE credit in California, New York, or Texas, complete this form and submit it here.  For CLE credit in any other state, contact us.


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