AML Template for Small Firms
January 14, 2010 by Magnifico · Leave a Comment
You can now smfind a template for small firms on FINRA’s site that will help them in establishing the AML compliance program. It includes relevant rules, Web sites, text examples, and other sources that will definitely be helpful during the development of an AML plan.
Click here to access FINRA’s page for this particular item.
New Podcasts from FINRA
December 2, 2009 by Magnifico · Leave a Comment
Two new podcast are now available through FINRA’s website:
- PANDEMIC PREPAREDNESS (PART 1)
- CHANGES TO TWO OF THE SECURITIES INDUSTRY’S REGULATORY ELEMENT CONTINUING EDUCATION PROGRAMS (S101/S106)
For more info or to view them please click on this link.
Learning to Invest – Podcast
November 20, 2009 by Magnifico · Leave a Comment
There are two new podcasts available through FINRA’s site that discuss basics on investing (Podcast #1) and risks associated with different types of investments (Podcast #2).
Click here to view the podcasts.
How to Invest in Muni Bonds
November 4, 2009 by Magnifico · Leave a Comment
This new podcast is nowavailable through FINRA’s site.
Click here to access podcast.
Anti-Money Laundering Programs Very Important
October 26, 2009 by MoneyElement · Leave a Comment
Just ask Scottrade about the recent fee imposed by FINRA. The brokerage firm has been charged $600,000 for “failing to establish and implement” an adequate anti-money laundering program.
“FINRA requires brokerage firms to establish and implement anti-money laundering policies, procedures and internal controls reasonably designed to detect and cause the reporting of any suspicious transactions that [...]
