On-Demand Webinar

Analyzing FINRA Regulatory Notice 19-18 – Red Flags for AML


In May of 2019, FINRA released Regulatory Notice 19-18 to provide comprehensive AML guidance for a variety of issues. Drawing from a variety of sources, the regulatory notice discusses money movement, securities, trading, insurance products and more. Join CSI’s Director of Global Risk and Compliance, Becki LaPorte, to unpack the regulatory notice. This session from the ACAMS AML & Anti-Financial Crime Conference will help you:

  • Understand the background and purpose of FINRA’s Regulatory Notice 19-18
  • Distinguish between banking and securities AML
  • Identify AML red flags unique to the securities industry
  • Use the notice to develop a risk-based AML program
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