AML/CTF for Advisers

16 Dec. 2020

Topical Webinars

Naomi Fink
Special Counsel
AML/CTF for Advisers

Most advice firms are aware that they have AML/CTF obligations but aren’t always 100% sure exactly what those obligations are.

Using a case study example, we’ll walk through the nuts and bolts of AML/CTF law, why you have to comply and how you can comply.

We’ll look at what makes a good program and where some will fall short of the mark.

What's covered

  • Identifying what your obligations are
  • Identifying who the obligation rests with (adviser or licensee)
  • Explaining the difference between Item 54 only and normal programs
  • Using a case study example, a walk-through of how to build a compliant AML/CTF program for advisers

Non-Subscriber Price

Price: $125

GST: $12.50

$137.50 inc GST

CPD Details

1.0 hours

Categories:

  • Regulatory Compliance and Consumer Protection

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