In this book M.L. Humphrey draws upon twenty years of experience with regulatory compliance, and AML compliance in particular, as both a regulator of broker-dealers and a consultant to some of the largest financial institutions in the world, to give an overview of the main AML compliance requirements, with a particular focus on customer identification and suspicious activity monitoring and reporting.
This book is meant to be a high-level overview of AML compliance requirements, which means it focuses on the general concepts behind the regulations as opposed to any specific industry- or country-level regulations or any specific suspicious activity fact patterns. But the book should give a strong foundation for understanding those industry- or country-level requirements.
In this book M.L. Humphrey draws upon twenty years of experience with regulatory compliance, and AML compliance in particular, as both a regulator of broker-dealers and a consultant to some of the largest financial institutions in the world, to give an overview of the main AML compliance requirements, with a particular focus on customer identification and suspicious activity monitoring and reporting.
This book is meant to be a high-level overview of AML compliance requirements, which means it focuses on the general concepts behind the regulations as opposed to any specific industry- or country-level regulations or any specific suspicious activity fact patterns. But the book should give a strong foundation for understanding those industry- or country-level requirements.
AML Compliance Fundamentals
118
AML Compliance Fundamentals
118
Product Details
| ISBN-13: | 9781637440728 |
|---|---|
| Publisher: | M.L. Humphrey |
| Publication date: | 10/11/2022 |
| Series: | Regulatory Compliance Essentials , #2 |
| Pages: | 118 |
| Product dimensions: | 5.25(w) x 8.00(h) x 0.25(d) |