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

Lipiec 10, 2024
12:00PM - 2:00PM ET
5:00PM - 7:00PM BST
Online
2 ACAMS Credits
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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

Obejmuje subskrybentów przedsiębiorców i subskrybentów premium webinarów

Included

Członkowie ACAMS

245,00 $

Osoby nienależące do ACAMS

445,00 $
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