FINRA Anti-Money Laundering Services

The PATRIOT Act requires all financial institutions, including investment advisers and broker/dealers, to develop and implement AML compliance programs. Money laundering involves acts committed to conceal or disguise the criminal origin of funds. This usually involves the placement of illicit funds into the financial system by converting those funds into some other financial instrument or medium, thus separating the illicit funds from their source by diverting them through a series of legitimate transactions, and disbursing those funds back to the criminal as though derived from a legitimate source. As a financial institution, you are required to commit effort and resources in the detection and prevention of money laundering.

Our experienced specialists comprise a multi-disciplinary team of regulatory examiners, forensic investigators and industry experts. We can work with you to develop, modify, review and implement AML procedures that will mitigate your AML compliance exposure.

Our services

• Compliance with the USA PATRIOT Act and the Bank Secrecy Act, as applicable
• Compliance with FINRA Rule 3011 and related reporting requirements
• Review and testing of your AML program
• Review and development of your written AML policy and procedures
• Development of an AML training plan for junior and senior staff

If you would like to speak to someone about our investment advisor services please contact Micah Taylor on (001) 212-588-8906