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

Moderator(s):

  • Meg R. Zucker, Managing Director, AML Officer, RBC Capital Markets

(s):

  • Sterling Daines, Vice President, Goldman Sachs & Co.
  • Michelle J. Neufeld, AML Expert, Executive Vice President, Head of Compliance and Operational Risk FIG, Wells Fargo

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

Print Certificate
Review Answers
Print Transcript
Completed on: token-completed_on
Review Answers
Please select the appropriate credit type:
/
test_id: 
credits: 
completed on: 
rendered in: 
* - Indicates answer is required.
token-content
token-index
token-content
token-index
token-content
token-index
token-content
token-index
token-content
token-index
token-content
token-index
token-content
/
/
token-index
token-content