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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


  • 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


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