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ACAMS 13th Annual AML & Financial Crime Conference
MI6.2 - Securities Focus: Managing a Robust Broker-Dealer AML Program
Sep 30, 2014 3:15pm ‐ Sep 30, 2014 4:30pm
Overview
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Description
Identifying regulatory "hot buttons" relating to broker-dealer AML compliance
Developing a preemptive plan of action to evaluate the effectiveness of your AML program
Finding solutions to address strained and limited resources and staffing
Applying best practices for account surveillance and client on-boarding requirements
Speaker(s):
Jeff Horowitz
, Managing Director, Global Head of Compliance, Pershing
Steven D. Trigili
, CAMS, Chief Compliance Officer, Garden State Securities
Catherine LaFalce
, Global Anti-Money Laundering Compliance Risk Management (ACRM) Head, Markets and Banking, Citigroup
Anita D. White
, CAMS, Vice-President, Director of Corporate Compliance/AML, Raymond James Financial
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