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