Many leaders at broker-dealers have a strong belief that there is no money laundering occurring within their firm. Unfortunately, belief alone isn’t enough to satisfy the requirements and expectations of regulators. As part of our podcast series talking about FINRA’s 2023 Exam Priorities, today our experts dive into the Financial Crimes portion of the report around AML and manipulative trading.    

CRC-Oyster: Compliance Risk Concepts / Oyster Consulting