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ACAMS 14th Annual AML & Financial Crime Conference

MIT6 - Registered Investment Advisers (RIA) Focus: Defining the Impact of Potential AML Program Rules

Sep 29, 2015 11:00am ‐ Sep 29, 2015 12:15pm


• Identifying who the proposed rule may cover and discussing potential vulnerabilities and risks of money laundering posed by different advisory activities
• Understanding which AML program requirements would apply to RIAs once the proposed rule is passed
• Learning from recent enforcement cases and applying best practices


  • Timothy Cullen, CAMS, MBA, Chief Anti-Money Laundering Compliance Officer, INTL FC Stone
  • Margaret O'Brien, AML Officer, Standish Mellon Asset Management Company
  • Mark Perry, CAMS, Senior Vice President, Brokerage Operations, Winslow, Evans & Crocker

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