Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks

Accreditation Wreath Icon AL
SKU: FIN8500
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Assessment of AML programs for potential pitfalls and vulnerability is critical for firms. This CLE course, presented by FINRA staff and industry experts, will explain regulatory trends and enforcement actions including those by the SEC and other agencies and criminal and governmental authorities. Methods to mitigate risk, due diligence tips and recent trends, including those involving crypto-currency will all be presented.

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