Securities Spotlight: Examining FINRA’s Recent Enforcement Actions

  • When: February 1, 2017
  • Time: 12:00 PM – 2:00 PM ET
  • Level: All

Recent enforcement actions have re-emphasized the need for a solid AML/BSA program. This webinar will dive deep into possible systemic flaws and review effective responses to enforcement actions. Best practices for meeting and exceeding regulatory expectations such as customer due diligence will also be explored.

Learning Objectives

  • Analyzing recent enforcement actions for a preventive compliance strategy
  • Getting ahead of potential issues by conducting appropriate independent tests
  • Reviewing the CDD Final rule to strengthen customer due diligence requirements for broker-dealers

Who Should Attend

  • Broker-dealers
  • Compliance Staff
  • Legal/Regulatory Advisors


  • Securities
  • Global
  • Compliance Programs


ACAMS Members Non-Members
$195 $295
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