Observations from Anti-Money Laundering Compliance Examinations of Broker-Dealers

Today the Division of Examinations published a Risk Alert presenting examination observations about key AML requirements. It reiterates the critical importance of AML compliance to the Commission and law enforcement’s pursuit of misconduct that could threaten the safety of investor assets and the integrity of the financial markets.

The Risk Alert presents examination observations about key AML requirements, such as independent testing of firms’ AML programs and training of their personnel, and identification and verification of customers and their beneficial owners.

View the Risk Alert:  Observations from Anti-Money Laundering Compliance Examinations of Broker-Dealers.