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