Description
• Conducting model testing to reduce the likelihood of penalties linked to inadequate systems
• Properly documenting and registering foreign clients and affiliated parties to meet regulatory expectations
• Ensuring proper transaction monitoring for broker-dealers and correspondent services
Speaker(s):
- John
Davidson,
Senior Vice President and Global Head of AML,
E-Trade Financial
- Michael
McNally,
Vice President, Customer Protection Financial Intelligence Group,
Fidelity Investments
- Bob
Molloy,
CAMS,
Chief BSA/AML Officer,
Raymond James Financial
- Steven
D. Trigili,
CAMS,
Chief Compliance Officer,
Garden State Securities
