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Financial Services Law Insights and Observations

FINRA to Host AML Seminars

Agency Rule-Making & Guidance FINRA Compliance Anti-Money Laundering

Agency Rule-Making & Guidance

On August 2, the Financial Industry Regulatory Authority (FINRA) announced that it will host a series of anti-money laundering (AML) seminars for compliance professionals, led by managers of the FINRA AML Unit. The seminars on October 19 (Dallas, Texas), November 7 (Boca Raton, Florida), and November 13 (New York, NY) will discuss money laundering fundamentals and typologies, applicable rules and regulations, and guidelines for monitoring for suspicious activity.