BREAKOUT: AML for Broker Dealers: Effective Compliance in the Securities Industry

Chopin

An annual conference highlight, this breakout session addresses current regulatory topics affecting the cross-border private client business. Featuring senior SEC and FINRA staff and leading brokerage industry counsel, both internal and external, the panel will discuss:

  • The SEC’s proposed Regulation Best Interest and its impact on the cross-border private wealth business
  • The significance of FINRA’s latest enforcement action against UBS on brokerages offering linked banking and non-brokerage services—including the regulatory need to properly staff and compensate compliance units
AML Operations Legal & Regulatory