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):

  • John Davidson, Senior Vice President and Global Head of AML, E-Trade Financial
  • Michelle J. Neufeld, AML Expert, Executive Vice President, Head of Compliance and Operational Risk FIG, Wells Fargo
  • Meg R. Zucker, Managing Director, AML Officer, RBC Capital Markets
  • Sterling Daines, Vice President, Goldman Sachs & Co.

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