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).