Learn the fundamentals of anti-money laundering compliance from M.L. Humphrey a financial services industry professional with over twenty years of experience in financial regulation and regulatory consulting.
About the Author: M.L. Humphrey started her regulatory career as a field examiner for FINRA examining broker-dealers for regulatory compliance with SEC, FINRA, and MSRB Rules. She later moved to the home office of FINRA where she wrote the AML examination procedures for FINRA’s field examiners, represented FINRA as an AML expert, and provided AML training and speeches. After leaving FINRA she worked for a regulatory consulting firm where she provided AML consulting to some of the largest financial institutions in the world.
About the Book: In this book M.L. Humphrey draws upon twenty years of experience with regulatory compliance, and AML compliance in particular, as both a regulator of broker-dealers and a consultant to some of the largest financial institutions in the world, to give an overview of the main AML compliance requirements, with a particular focus on customer identification and suspicious activity monitoring and reporting.