Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities


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About This Course

This CLE program reviews challenges facing firms in monitoring and protecting against fraudulent activities. Join FINRA staff and industry panelists as they provide examples of effective controls their firms have put into place to address AML risks.

After attending this session, you will be able to:

  • Review AML and Fraud Protection Red Flags and Effective Practices
  • Discuss monitoring for high-risk suspicious activities
  • Discuss policies, procedures, controls, and education that bridges the gaps and vulnerabilities
  • Review lessons learned from recent examinations and actions that address emerging money-laundering and related fraud and cyber risks, and enforcement trends

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