Customer Due Diligence Rule: 2017 FINRA Annual Conference

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About This Course

This CLE program provides guidance on Customer Due Diligence Rule. Join FINRA Staff and industry experts as they discuss the proposed rule and steps firms can take to meet the requirements.

After attending this session, you will be able to:

  • Summarize and explain FinCEN’s Customer Due Diligence Rule.
  • Understand rule requirements.
  • Identify steps firms have taken to meet the requirements.

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