The accreditors of this session require that you periodically check in to verify that you are still attentive.
Please click the button below to indicate that you are.
• Analyzing FINRA fines related to deficient AML programs to identify potential risks linked to lax oversight of red flags and suspicious activities.
• Reviewing the FINRA360 AML Exam Findings section of the report to discern trends in areas such as risk-based approaches to exam’ expectations regarding adequate resourcing and testing of AML programs.
• Learning about the SEC’s Office of Compliance Inspections and Examinations CDD Final Rule expectations on issues such as understanding nature and purpose of accounts.
Speaker(s):
John
Davidson,
Senior Vice President and Global Head of AML,
E-Trade Financial
Bob
Molloy,
CAMS,
Chief BSA/AML Officer,
Raymond James Financial
Jeffrey
A. Weiss,
CAMS,
Chief Anti-Money Laundering Officer,
TD Ameritrade