Hot Topics in AML

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Missouri MCLE
Accreditation Info

Missouri attorneys may earn all 15 credits from the United Institute for Continuing Legal Education. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

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. Topics discussed: 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).
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