AFC in Practice: AFC Risks and Controls for Asset Managers and Broker-Dealers

Recorded
Online
2 ACAMS Credits
INSCRIVEZ-VOUS MAINTENANT
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2

ACAMS Credits

Overview

In this webinar we review scenarios and examples of AFC risks that apply to asset managers and broker-dealers. We also examine the regulatory framework that underpins AFC obligations for broker-dealers, asset managers and securities services.

Learning Objectives

Understanding the unique business model of broker-dealers and asset managers

Exploring risks inherent in the business model and implementing control measures

Examining the application of a risk-based approach to these segments

Pricing

Abonnés Entreprise et Premium inclus

Included

Membres de l’ACAMS

245,00 $

Non membres

445,00 $
Moderator
Kyle Daddio Bio Photo
Kyle Daddio
Managing Director, Regulatory Compliance and Financial Crimes Practice
Stout

Presenters
Sourit Dasgupta Bio Photo
Sourit Dasgupta, CAMS
Global Head of Model Risk and Analytics
Interactive Brokers

Vanessa I. Pinto
Vanessa I. Pinto, CAMS, CAMS-Audit, CAMSRM
Director, Financial Crime Compliance

Jamie Udinson 2023
Jamie Udinson, CAMS
Senior Director, Crypto Asset Investigations, Complex Investigations and Intelligence
Financial Industry Regulatory Authority

Who Should Attend?

AFC Professionals
Investigators
KYC/Onboarding
QA/QC AFC Professionals
Risk Manager

Topics

De-risking
Quality Control

Skill Areas

AML
Fraud Prevention

Industries

Asset Management
Brokerage Firm, Securities & Investments
Corporate and Investment Bank
Private Banking / Wealth Management

Region

Global

Levels

Basic
Intermediate