What to Expect: Anti-Money Laundering Reviews During Routine Exams
This webcast focuses on what firms should expect from the Anti-Money Laundering (AML) reviews conducted as part of FINRA's routine examinations. The webcast reviews how FINRA examiners will check to make sure you have appropriate AML procedures in place, and you will learn what we expect of you and what you should expect from us during the AML part of an exam.
This is part of the "What to Expect" webcast series, which was created to take the mystery out of FINRA's regulatory processes.
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Related Resources:
What to Expect: Anti-Money Laundering Reviews During Routine Exams - Resource Guide (PDF 80 KB) |
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