Lessons Learned From Recent AML Enforcement Actions

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About This Course

Attend this CLE program to hear a discussion on hot legal cases and enforcement actions impacting AML programs. Does your AML program meet evolving expectations and address emerging money laundering risks? Join FINRA staff and industry experts as they review hot legal cases and enforcement actions impacting AML programs. Panelists will cover critical regulatory concerns, potential vulnerabilities, and how you can address any pitfalls in your AML program.

After attending this session, you will be able to:

    Review key microcap enforcement actions and microcap trends.
  • Discuss various methods firms can take to mitigate risk.
  • Learn tips on due diligence.
  • Discuss compliance issues associated with these activities.

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