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):
Moderator(s):
- Meg
R. Zucker,
Managing Director, AML Officer,
RBC Capital Markets
(s):
- Michelle
J. Neufeld,
AML Expert,
Executive Vice President, Control Leader FIG and international,
Wells Fargo