9c. BD - Identity Theft: How Reg S-ID & Reg SP Intersect with AML (Intermediate)

Wednesday
Written By Meghan Flanagan

Given the amount of information that is requested and stored by broker-dealers, it is imperative that firms understand their obligations to protect data.  This session will not only describe the components of AML but further explore Reg S-ID and how the two interact.  Uncover the requirements of Reg S-ID and how to develop your compliance program to ensure compliance with the regulations.  This session is open to regulators but closed to members of the press.

Featured
Carlos Barrientos
Carlos Barrientos

Chief Compliance Officer

Invex, LLC

Jodie Crotteau
Jodie Crotteau

Chief Compliance Officer

Harris Associates

Nikki Brinkerhoff
Nikki Brinkerhoff

Chief Compliance Officer

TradeStation

Meghan Flanagan
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