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 web seminar will cover possible systemic flaws and review effective responses to relevant enforcement actions. Best practices for meeting and exceeding regulatory expectations such as customer due diligence will also be explored.
- Analyzing recent enforcement actions for improving your compliance strategies
- Getting ahead of potential issues by conducting appropriate independent tests
- Reviewing the CDD Final rule and applicability for broker-dealers
Who Should Attend
- Compliance Staff
- Legal/Regulatory Advisors
- Compliance Programs
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Alison Jimenez, CAMS
- Dynamic Securities Analytics, Inc.
Bob Molloy, CAMS
- Chief BSA/AML Officer
- Raymond James Financial, Inc.
Gina Storelli, CAMS-Audit
- Sutton Consulting Services Corp
Steven Trigili CAMS, MBA
- Chief Compliance Officer
- Garden State Securities, Inc.