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Successfully Meeting the Unique Compliance Challenges of Securities Firms

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

Credits: None available.


• 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




  • Michelle J. Neufeld, AML Expert, Executive Vice President, Control Leader FIG and international, Wells Fargo


Credits: None available.

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