10b. BD/IA - Identity Theft: Where Reg S-ID meets AML (Intermediate - OPEN)

Wednesday
Written By Meghan Flanagan

Given the amount of information that is requested and stored by registered investment advisers and broker-dealers, it is imperative that firms understand their obligations to protect that data.  This session will not only describe the components of AML, but further explore Reg S-ID and how the two interact.  Uncover the requirements of Reg S-ID and how to develop your compliance program to ensure compliance with the regulations.

This session is open to regulators but closed to members of the press.

Learning Objectives:

  • Define and discuss the differences between Reg S-ID and AML.

  • Explore the requirements of the rule, including your duties regarding the detection, prevention, and mitigation of identity theft.

  • Discuss ways to incorporate Red Flags into your AML program and how to train employees to spot issues.

  • Review recent guidance including the SEC Risk Alert, legal opinions, and enforcement actions.

Featured
Harsh Pandya
Harsh Pandya

VP of Product

Saifr

Robin Freeman
Robin Freeman

Chief Compliance Officer

LaSalle Investment Management

Susan Schroeder
Susan Schroeder

Partner

WilmerHale

Meghan Flanagan
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8i. PF - Private Fund Manager Talk Group (CLOSED)