POWER SESSION
Wed, 09/30/2020 - 2:30pm-3:00pm
Securities Industry Spotlight: Analyzing FINRA Regulatory Notice 19-18 - Red Flags for AML - Presented by CSI
- 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