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Successfully Meeting the Unique Compliance Challenges of Securities Firms


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

Description

• 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

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