Joseph Meuse, weighs in on how Chinese businesses are faring post earthquake
The Securities and Exchange Commission published NASD Rule 3011, which prescribes minimum standards for anti-money laundering (AML) compliance programs. In addition, the US Patriot Act requires financial institutions, including registered securities broker-dealers and investment firms, to implement anti-money laundering compliance programs.
Hear a panel of industry legal experts identify the basics of a due diligence campaign for fraud detection and prevention which are crucial for survival in today’s business environment. Learn essential awareness information, how to recognize illegal activity, and how money laundering affects businesses. The panel will discuss federal legal and regulatory policies, controls and compliance procedures which should be put in place to protect your business, and the recourse available for reporting suspicious activity.
Real world examples from compliance and enforcement professionals with practical “from the trenches” experience will be presented. A case study concerning recent allegations against a major U.S. corporation will be highlighted.
Best practices and procedures for securities fraud detection, risk mitigation and compliance will be discussed at length by a panel of legal experts during Anti-Money Laundering: From Compliance to Enforcement, an APS Webinar hosted by Belmont Partners, LLC. The webinar will also feature a live Question & Answer session at the conclusion of the presentation.
Joseph Meuse and Liz MacDonald, on the Chinese Markets