Mastering the five key phases of a successful risk assessment: Planning, information gathering, risk rating, reporting and aligning
Sharing strategies to incorporate risk assessment findings into CDD policies and procedure
Relying on the four prongs of CDD until the ANPRM is final: Initial due diligence, understanding purpose and intended nature, beneficial ownership and ongoing monitoring
Developing practical processes to identify and address red flags in your transaction monitoring system
Speaker(s):
John
Davidson,
Senior Vice President and Global Head of AML,
E-Trade Financial
