0      0

ACAMS 21st Annual International AML & Financial Crime Conference - Hollywood

SS2 - 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

Speaker(s):

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