Successfully Meeting the Unique Compliance Challenges of Securities Firms

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

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