Securities Spotlight Preparing for Pending Regulatory Changes affecting Registered Investment Advisors

  • When: Previously recorded on: October 22, 2014
  • Time: 12:00 PM – 2:00 PM ET
  • Level: Basic to Intermediate

The looming change in AML compliance requirements for Registered Investment Advisors (RIAs) and hedge funds has forced the securities industry to quickly put AML program protocols in place to proactively meet the new obligations. This potential change requires re-examination of internal processes and systems, roles and responsibilities of securities professionals and broker-dealers; as well as an assessment of the possible impact of external events. Failure to put these protocols in place may result in undetected illicit activities and could lead to significant reputational damage.

Take part in this informative interactive webinar as experienced broker-dealers and RIA professionals and consultants prepare you to successfully meet imminent regulatory requirements.

Learning Objectives

  • Avoiding common mistakes that many RIAs make in implementing a voluntary AML program
  • Leveraging CDD and EDD procedures to improve identification of PEPs and fraudsters
  • Mitigating the legal and operational risks of your due diligence program

Who Should Attend

  • AML Compliance Officers
  • Broker-Dealers
  • Consultants
  • General and Corporate Counsel
  • Government Regulators
  • Investment Advisors
  • Law Enforcement Agents
  • Registered Investment Advisors


  • Banks and Credit Unions
  • Consultants
  • Government and Regulatory Agencies
  • Securities and Investment


ACAMS Members Non-Members
$195 $295
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Ross Delston
  • Ross Delston, CAMS

  • Attorney + Expert Witness
  • Washington, DC


Paul Glenn
  • Paul Glenn

  • Esq. Special Counsel
  • Investment Advisers Association

Paul Glenn
  • Mark Trenchard

  • Director, Operational Compliance
  • Putnam Investments