Danielle Tarasen

Danielle Tarasen

Senior Vice President, Head of Cross Border Strategy and Oversight

Raymond James Financial

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


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 […]

AML Operations Legal & Regulatory