Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities

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Ohio CLE
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Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a self-study established sponsor (sponsor number 14232) by the Ohio Commission on Continuing Legal Education. To view our full accreditation details please .

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All Courses Available iOS/Android Web

About This Course

There are many inherent challenges facing firms in monitoring and protecting against fraudulent activity. This CLE course, presented by FINRA staff and industry panelists, will offer examples of the controls that their firms have effectively put into place in order to address the rising AML risks.

The course will offer a review of AML and fraud protection red flags, effective practices, monitoring of high risk and/or suspicious activities and the various procedures and controls that can protect your business. Education to bridge the gaps and address vulnerabilities as well as an overview of recent actions and examinations that address current fraud and cyber risks as well as money laundering activities and the enforcement trends to combat these activities will all be presented.

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