Half-day compliance boot camps are local educational programs that focus on basic regulatory requirements and compliance responsibilities. Through a combination of classroom training and case studies, compliance professionals who are new to their role or those looking for a refresher gain valuable insights on compliance activities for immediate application to the workplace.
The 2015 OFAC Fall Symposium will be held in Washington, DC on September 22, 2015. The symposium will provide a comprehensive review of current U.S. economic sanctions. It will include presentations on OFAC regulations, as well as targeted reviews of sanctions concerns for new and updated OFAC-administered programs.
Celebrating its 16th year, SIFMA's C&L Anti-Money Laundering & Financial Crimes Conference gathered more than 400 compliance and legal professionals from April 5-6 at the Marriott Marquis in New York City. Our new two-day program featured practical insights from FINRA's Bradley Bennett, Executive Vice President, Enforcement; Treasury's Jennifer Fowler, Deputy Assistant Secretary for Terrorist Financing; … Continue reading SIFMA’s Anti-Money Laundering & Financial Crimes Conference
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below. October 19, 2017 9 a.m. – 2 p.m. AML Half-Day Seminar … Continue reading FINRA AML Seminar – District 6 Dallas
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. November 7, 2017 9 a.m. – 2 p.m. AML Half-Day Seminar FINRA Boca Raton District Office 5200 Town Center Circle, Suite 200 Boca … Continue reading FINRA AML Seminar – District 7 – Boca Raton, Florida
Designed for compliance and legal professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below. November, 13 2017 9 a.m. – 2 a.m. AML Half-Day Seminar FINRA New York District … Continue reading FINRA AML Seminar – District 10 – New York
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 … Continue reading FINRA AML Half-Day Seminar
FINRA’s Anti-Money Laundering (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 … Continue reading FINRA Anti-Money Laundering (AML) Half-Day Seminar – Boca Raton