Effective Processes for Suspicious Activity Monitoring and Investigations

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About This Course

This CLE program provides guidance on suspicious activity monitoring and investigations in AML (anti-money laundering). Panelists discuss how to establish and implement policies and procedures as well as obligations for firms. Attendees will gain an understanding of the anti-money laundering regulations and steps firms can take to protect their organization.

After attending this session, you will be able to:

  • Understand AML program requirements.
  • Discuss efficient practices on identifying and reporting of suspicious activity.
  • Identify common firm practices, procedures and policies.
  • Identify AML monitoring procedures to keep pace with regulatory expectations (Trade Surveillance, Market Manipulation and Microcap Fraud).

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