Small Firm Briefing: AML Resources and Guidance (Duration: 44 Minutes)

Senior Vice President of Member Firm Experience Kayte Toczylowski is joined by Regulatory Operation’s Vice President Jason Foye and Senior Director Gargi Sharma for an engaging conversation focused on anti-money laundering (AML) resources and guidance tailored specifically for small member firms. This briefing provides an opportunity for small firms to hear directly from FINRA staff on the AML compliance landscape, including practical tools, regulatory expectations and available resources to help firms build and maintain effective AML programs.

Speakers

• Jason Foye, Vice President, Investigations, Illicit Finance & Fraud
• Gargi Sharma, Senior Director, Investigations, Illicit Finance & Fraud
• Kayte Toczylowski, Senior Vice President, Member Relations and Education

Resources

• AML Key Topic Web Page
• FINRA Rule 3310. Anti-Money Laundering Compliance Program
• Anti-Money Laundering (AML) Template for Small Firms
• Frequently Asked Questions (FAQ) regarding Anti-Money Laundering (AML)
• Office of Foreign Assets Control (OFAC)
• SEC Anti-Money Laundering (AML) Source Tool for Broker-Dealers
• FinCEN Proposes Rule to Fundamentally Reform Financial Institution Programs Designed to Fight Illicit Finance
• FINRA’s Financial Intelligence Fusion Center (FIFC)