AML Compliance Fundamentals
Paperback 117 pages English Oct 11, 2022
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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. This book is meant to be a high-level overview of AML compliance requirements, which means it focuses on the general concepts behind the regulations as opposed to any specific industry- or country-level regulations or any specific suspicious activity fact patterns. But the book should give a strong foundation for understanding those industry- or country-level requirements.
- Author:
- M. L. Humphrey
- Publisher:
- M.L. Humphrey
- Publication Date:
- Oct 11, 2022
- Number of pages:
- 117 pages
- Language:
- English
- Binding:
- Paperback
- ISBN-10:
- 1637440723
- ISBN-13:
- 9781637440728