0      0

Successfully Meeting the Unique Compliance Challenges of Securities Firms

Apr 11, 2016 4:40pm ‐ Apr 11, 2016 5:55pm

Credits: None available.


• Examining FINRA Rule 3310 for a full understanding of written AML program requirements
• Building compliance infrastructure to accurately assess risks of securities and financial products
• Monitoring to flag suspicious activities like possible front-running and unusual trading patterns


Credits: None available.

You must be logged in and own this session in order to post comments.