BD- Anti-Money Laundering (AML) Program Approval by Senior Management

The Broker-Dealer Anti-Money Laundering (AML) Program Approval by Senior Management serves as an important part of a firm’s overall AML Program.  The Approval by Senior Management form meets the requirements under FINRA Rule 3310 in that each member firm shall develop and implement a written anti-money laundering program reasonably designed to achieve and monitor the member's compliance with the requirements of the Bank Secrecy Act and applicable regulations as well as each member's anti-money laundering program must be approved, in writing, by a member of senior management.

Version/Update: V.1/February 18, 2018

Total Page Count: 1

Source/Author(s): Connexien