Hot Topics in AML

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About This Course

This CLE program provides guidance on suspicious activity monitoring and other hot topics in AML (anti-money laundering). There is no shortage of "hot topics" in the Anti-Money Laundering (AML) compliance. As the industry has taken a leading approach to address and combat money laundering risks, this panel will discuss current and emerging AML hot topics.

After attending this session, you will be able to:

  • Understand AML program requirements.
  • Identify and describe FINRA’s AML initiatives.
  • Discuss new concerns in the AML arena.
  • Understand proper Customer Identification Program (CIP) elements.
  • Discuss efficient practices on identifying and reporting of suspicious activity.
  • Identify common firm practices, procedures and policies.
  • Review how to conduct and document a risk assessment.
  • Identify AML monitoring procedures to keep pace with regulatory expectations (Trade Surveillance, Market Manipulation and Microcap Fraud).

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Online, Audio CD, DVD, iOS/Android App, USB Stick

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