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AML Compliance for Broker-Dealers
Episode Summary: In this episode of Fintech Law and Compliance, host Michelle Rotella is joined by Charles A. Christofilis to delve into the critical aspects of Anti-Money Laundering (AML) responsibilities for broker dealers. They explore why AML and sanctions compliance is more crucial than ever, especially in light of global issues like elder financial abuse and geopolitical tensions. Charles outlines the essential components of a strong AML program, emphasizing the importance of senior management's role in fostering a compliance culture. The discussion also covers the challenges posed by…
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