About This Course
There are many inherent challenges facing firms in monitoring and protecting against fraudulent activity. This CLE course, presented by FINRA staff and industry panelists, will offer examples of the controls that their firms have effectively put into place in order to address the rising AML risks.
The course will offer a review of AML and fraud protection red flags, effective practices, monitoring of high risk and/or suspicious activities and the various procedures and controls that can protect your business. Education to bridge the gaps and address vulnerabilities as well as an overview of recent actions and examinations that address current fraud and cyber risks as well as money laundering activities and the enforcement trends to combat these activities will all be presented.
