U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

SEC-SIA Anti-Money Laundering Webcast

Monday, November 25, 2002
1:00 p.m. U.S. Eastern Time

Ask SEC Staff your questions about anti-money laundering compliance issues

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations, in conjunction with the Securities Industry Association, is hosting an anti-money laundering compliance webcast (audio only) scheduled for Monday, Nov. 25, 2002 at 1:00 P.M. Eastern Standard Time. The webcast, lasting approximately 1½ hours, will be in a question-and-answer format. The questions will be answered by a panel of experts from the SEC and the SIA and will be moderated by Lori Richards from the SEC and Alan Sorcher from the SIA. The topic of the webcast is broker-dealer responsibilities and examination issues with respect to compliance with the USA Patriot Act and other anti-money laundering regulations.

Instructions for Accessing the Webcast

To access the webcast simply go to www.sec.gov and click on the "News & Public Statements" link. From there, click on the "Other Webcasts" link and look for "SEC-SIA AML Webcast" link. You may need to download either Real Player or Windows Explorer to access the webcast.

Answers to Your Questions

Only pre-submitted questions will be addressed during the webcast. To submit questions for the webcast, simply send an email containing the question to ocieaml@sec.gov by November 15, 2002.



Modified: 11/01/2002