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ACAMS 14th Annual AML & Financial Crime Conference

MIT5 - FINRA's Fines and Lessons for Securities Firms

Sep 28, 2015 4:25pm ‐ Sep 28, 2015 5:40pm


• 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


  • 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

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