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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):

Moderator(s):

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

(s):

  • Michelle J. Neufeld, AML Expert, Executive Vice President & Financial Institutions Group & International, Wells Fargo Bank

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