ABA SRO AML Roundtable Including Compliance with FinCEN’s Customer Due Diligence Regulation
The SRO and States Subcommittee of the ABA Securities Litigation Committee is pleased to announce its upcoming program, "AML Roundtable Including Compliance with FinCEN’s Customer Due Diligence Regulation.” The program will feature Mike Rufino, FINRA’s Head of Member Regulation – Sales Practice. Addressing the issues from the industry perspective will be Liz Small, Global Head of Financial Crimes Core Function, Morgan Stanley and Kerry Zinn, Principal, Bressler, Amery & Ross, P.C.
Bressler principal, Andrew Sidman, Co-Chair of the SRO Subcommittee, will serve as a co-moderator of the panel. If you would like additional information or would like to attend, please contact us at email@example.com.