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MON09 - Securities Small Stocks, Big Issues: Examining Best Practices for Preventing or Investigating Microcap Money Laundering Schemes


‐ Sep 25, 2017 11:45am

• Reviewing unique AML and fraud risks of microcaps to ensure adequate CIP and conduct robust monitoring

• Investigating suspicious activities to identify relevant facts and file SAR as warranted

• Conducting staff training and independent testing to assure AML models withstand regulatory rigors