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ACAMS 20th Annual International AML & Financial Crime Conference
SEC2 - Understanding SEC Guidance and FINRA Exam Priorities for BSA Compliance
Mar 17, 2015 1:30pm ‐ Mar 17, 2015 2:45pm
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Description
Enhancing monitoring systems to spot red flags in microcap trading, investment fraud and market manipulation
Complying with DVP/RVP account requirements to hinder money laundering through penny stocks
Clarifying the responsibilities of executing brokers and prime brokers when liquidating large sums of low-priced securities
Speaker(s):
Christopher W. Cuzzucoli
, CAMS, Chief AML/OFAC Officer, LPL Financial
Jeffrey A. Weiss
, CAMS, Chief Anti-Money Laundering Officer, TD Ameritrade
Brian J. Walsh
, Vice President and Deputy AML Officer, Pershing
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