Anti-Money Laundering Policies and Procedures
The USA PATRIOT Act of 2001, Bank Secrecy Act, and FINRA Rule 3310 requires that all firms develop and implement an Anti-Money Laundering Compliance Program designed to prevent and detect money laundering.
Let the Greico team of professionals help your firm:
● Create, establish and implement policies and procedures in order to detect and report suspicious activities or suspicious transactions;
● Create, establish and implement policies and procedures in order for the firm to achieve compliance with the anti-money laundering and the Bank Secrecy Act requirements;
● Create independent testing procedures for compliance with Anti-Money Laundering rules and regulations;
● Appoint individual(s) to be responsible for the monitoring of the firms Anti-Money Laundering Compliance Program;
● Create a Customer Identification Program (CIP)
● Provide anti-money laundering training to the firm’s personnel.
● Monitor and perform E- Mail Surveillance
● Perform and monitor World Check and OFAC surveillance
● Independent Audit of the Anti-Money Laundering Program
FINRA /SEC/SRO Inquiries. What do you do when your Coordinator or Examiner calls? Call Greico.
Let Greico help you gather information and prepare a response
As former regulators we will assist you in responding to regulatory inquiries and requests. We work closely with you to ensure that your firm’s responses to regulators are appropriate and satisfy the scope of their inquiry..