WEBINAR: AML Developments Now and to Come

Join us for a review of the current anti-money laundering (AML) issues that broker-dealer and investment adviser firms are facing and how they impact your business.

Guest Speaker: Susan Berger, Attorney & AML Consultant, Intermittent Advisor to U.S. Treasury Office of Technical Assistance-Economic Crimes Team

This session will review:

– New FINCEN Enhanced Due Diligence Rules
– Other FINCEN Initiatives: Coverage of Advisers and Other “Gap Filling
– Lessons Learned from the Panama Papers
– Exam and Enforcement Update