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WED29 - Securities Spotlight: Regulatory Trends Including FINRA Enforcement Actions, FINRA360 and SEC National Exam Program Priorities

‐ Oct 3, 2018 4:00pm

• 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.


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