Broker-Dealer Written Supervisory Procedures- Anti-Money Laundering

The Broker-Dealer Anti-Money Laundering (AML) Procedures serve as an important part of a firm’s overall AML Program in accordance with FINRA Rule 3310 (Anti-Money Laundering Compliance Program), Bank Secrecy Act and USA Patriot Act.  The AML Procedures help firms outline and implement effective supervisory processes regarding its AML Program.  The AML Procedures include twenty-one (21) separate sections to address AML regulatory focal points often highlighted during the broker-dealer regulatory examination process.  Select sections include sample descriptions of supervisory review processes that can be further customized to align with your specific business model. Members also viewed our WSP Library and downloaded AML Internal Risk Assessment Index, AML Independent Test- Audit Review Template, and FINRA Small Firm AML Template.

Version/Update: V.9/March 31, 2022

Total Page Count/Format: 49/.docx

Source/Author(s): Connexien