About This Course
This CLE program provides guidance on suspicious activity monitoring and investigations in AML (anti-money laundering). Panelists discuss how to establish and implement policies and procedures as well as obligations for firms. Attendees will gain an understanding of the anti-money laundering regulations and steps firms can take to protect their organization.
After attending this session, you will be able to:
- Understand AML program requirements.
- Discuss efficient practices on identifying and reporting of suspicious activity.
- Identify common firm practices, procedures and policies.
- Identify AML monitoring procedures to keep pace with regulatory expectations (Trade Surveillance, Market Manipulation and Microcap Fraud).