Carolyn Browne

BCLP

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Latest Posts › Anti-Money Laundering

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FINRA Reg Notice 17-40: Is Your AML Program Ready For FinCEN’s CDD Rule?

On November 21, 2017, FINRA issued Regulatory Notice 17-40 to provide member firms guidance regarding their obligations under FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in light of the Financial Crimes...more

12/11/2017 / Anti-Money Laundering , Bank Secrecy Act , Broker-Dealer , Compliance , Customer Due Diligence (CDD) , Financial Industry Regulatory Authority (FINRA) , New Guidance

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Carolyn Browne

BCLP

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Latest Posts › Anti-Money Laundering

FINRA Reg Notice 17-40: Is Your AML Program Ready For FinCEN’s CDD Rule?

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