The Firm Perspective on Monitoring and Protecting Against Financial Crimes


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About This Course

Join panelists for a comprehensive discussion on financial crimes from the firms' perspective. This CLE session covers a variety of tactics, red flags and mitigation strategies associated with fraud, insider trading, cybersecurity and money laundering.

This session will discuss:

  • Effective practices and controls for firms in monitoring, protecting against and addressing AML, cybersecurity and fraudulent activities
  • Provide tips to identify potential “red flags” for fraud and insider trading and discuss who to contact if a fraudulent scheme is suspected
  • New Account Opening Identity Validation and Customer Due diligence
  • Effective practices to protect investors and firms, including review of risks and tips for building procedures

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