A broker-deal firm’s anti-money laundering efforts may overlap with any number of other regulatory concerns. On the last episode, we looked at the intersection of a firm’s AML and cybersecurity risks. On this episode, the second in a two-part series, we’re looking at how AML may overlap with a firm’s efforts to protect senior investors from exploitation and fraud.Joining us on this episode are Jason Foye, a director with FINRA's Anti-Money Laundering Investigative Unit, and Brooke Hickman, a director with FINRA's Vulnerable Adults and Seniors Team (VAST), both with FINRA’s National Cause and Financial Crimes Detection Program. Resources mentioned in this episode:FinCEN February 2011 Advisory on Filing SARs Regarding Elder Financial ExploitationSARs on Elder Financial Exploitations: Issues and Trends, CFPBDOJ’s Elder Justice InitiativeFINRA Resources on Senior InvestorsFINRA Securities Helpline for SeniorsFINRA Foundation – Aging and Financial Decision Making FINRA Investor AlertsVirtual Conference Panel: Social Distancing and the Impact on Older InvestorsVirtual Conference Panel: Financial Crimes, Trends and Responses In the Midst of the PandemicEpisode 33: Money Laundering in the Securities IndustryEpisode 34: AML Priorities and Best Practices Episode 71: Anti-Money Laundering and Cyber Security 
Find us:  LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.

Ver todos los episodios