2017 FINRA AML Half-Day Seminars
FINRA’s AML Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. Each seminar provides demonstrations on using data and publicly available information to supplement compliance reviews of exception reports and alerts generated by automated surveillance systems.
The seminars are designed for AML compliance professionals from firms of all sizes who are new to their role, or to those who are looking to reinforce their understanding of regulatory requirements and compliance responsibilities.
In 2017, FINRA hosted three AML Half-Day Seminars—each led by managers of FINRA’s AML Unit. There are no AML half-day seminars scheduled at this time. Check this page frequently for additional programs and other updates.