POWER SESSION
Wed, 09/30/2020 - 2:30pm-3:00pm
  • Discussing background and purpose of FINRA’s Regulatory Notice 19-18  
  • Utilizing this Notice to develop a risk-based AML program 
  • Identifying AML red flags unique to the securities industry 

 

Presenter

Becki LaPorte
Director, Global Risk and Compliance
CSI