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August 23, 2019

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.

New York Professional Practice CLE credit: .5

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.

 

 

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