 Event Name: FIBA Webinar - “AML Programs in the Securities and Broker Dealer Sectors – What’s New from Industry |
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Click here for this event's web page. |
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Date: |
Friday, June 18, 2010 |
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| Time: | 13:00
- 14:30 |
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| Location: |
Online
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| RSVP: |
Click on link above
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| Price: |
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| Details: |
Speakers: •Linda Busby, AML Officer, Raymond James Financial •Yvette Hollingsworth, Managing Director, Barclays Capital •Rachel Romijn, SVP, Capital & Wealth Management, Wells Fargo •Michael Rufino, Sr. Vice President Member Firm Regulation, FINRA •Isabelle Wheeler, SVP Regional Head of Financial Products, BNP Paribas Webinar Moderator: •Julia Mold, FIBA Consultant and Moderator, Clear Sky Compliance Inc Concepts that we'll address include: •What does FINRA expect from its member organizations’ AML / Sanctions Programs? •What effect have the mergers, acquisitions and divestures had on broker dealers’ AML compliance programs? •How is the industry dealing with AML, sanctions compliance, compliance outsourcing, rumors and information barriers? •What is FINRA’s perspective on the 2010 examination cycle in terms of AML? •Will FINRA place more examination emphasis on FCPA compliance? •What are the new regulatory compliance challenges in 2010? Hear from the regulators and senior compliance officers what they are doing now to prepare for increased regulatory emphasis and minimize compliance risks. Continuing Education Credits Offered by the FIBA AML Institute: AML/CA - 1.5 Credits CP/AML - 1.5 Credits |
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