SEC2 - Understanding SEC Guidance and FINRA Exam Priorities for BSA Compliance

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