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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


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


  • Michelle J. Neufeld, AML Expert, Executive Vice President, Control Leader FIG and international, Wells Fargo


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