Beyond Hollywood, Part II: AML Priorities and Best Practices

The world of money laundering is fast-paced and ever evolving as we learned on the last episode of FINRA Unscripted. That can make it difficult for a financial firm to develop and maintain a robust anti-money laundering program.

On this episode of FINRA Unscripted, we are joined once again by Blake Snyder and Jason Foye of FINRA’s AML Investigative Unit to discuss current priorities and best practices when it comes to anti-money laundering regulation.

Click below to read more:

http://www.finra.org/industry/podcasts/beyond-hollywood-part-ii-aml-priorities-and-best-practices

FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations

FINRA is issuing this Notice to provide guidance to member firms regarding suspicious activity monitoring and reporting obligations under FINRA Rule 3310 (Anti-Money Laundering Compliance Program).

Regulatory-Notice-19-18

Questions concerning this Notice should be directed to: Victoria Crane, Associate General Counsel, Office of General Counsel, at (202) 728-8104; or Blake Snyder, Senior Director, Member Regulation, at (561) 443-8051.