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