BD- Anti-Money Laundering (AML) Review Records Request List

The Anti-Money Laundering (AML) Review Records Request List is typically submitted to broker-dealers to prepare, organize and submit select books and records in preparation of their upcoming AML independent testing requirements in accordance with FINRA Rule 3110.  All books and records provided by the broker-dealer allow for the reviewer to review and complete the testing processes and better analyze points of risk related to the AML independent test.

Version/Update: V.3/October 14, 2017

Total Page Count: 3

Source/Author(s): Connexien