Speaker

Peter D. Hardy

Program

The SEC and FINRA have shown increased interest in enforcing the Bank Secrecy Act against broker dealers, and have announced that AML is an examination priority. This presentation explores how regulators have been examining for BSA compliance in the securities industry, and the themes that have emerged from enforcement actions – which serve as a roadmap for what to do, and what not to do.

Related Practice

Anti-Money Laundering