Common AML Exam Findings: What Can Go Wrong Does Not Have To

Would you like to know what exceptions our examiners find most often during independent AML testing?

Join NCS Regulatory Compliance for an overview of frequent AML testing exceptions and corrective action as well as a targeted discussion on best practices regarding:

• The new Customer Due Diligence requirements
• Know your customer
• Customer Identification Procedures (including retail vs. institutional customers)
• OFAC
• Suspicious Activity Reports
• FinCEN 314(a) and 314(b) obligations 
• Training requirements for registered and non-registered associates