ACAMS 15th Annual AML & Financial Crime Conference - Las Vegas

MIT2 - Securities: Analyzing Recent FINRA Actions for Lessons on Compliance and Risk Management

Sep 26, 2016 11:30am ‐ Sep 26, 2016 12:45pm


Description

  • Assessing penalties tied to microcap shares to determine best practicesfor enhancing AML models
  • Examining private placement fines to identify red flags that may indicatekickbacks and other crimes
  • Applying guidance from FINRA’s firm culture reviews to integrate theagency’s priorities into oversight models
  • Moderator(s):

    • Michelle J. Neufeld, AML Expert, Executive Vice President, Head of Compliance and Operational Risk FIG, Wells Fargo

    Speaker(s):

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