Bao Nguyen

Bao Nguyen is a Principal in the Risk Advisory Services practice and co-leader of the Investment Industry practice at Kaufman Rossin. As a leader, his expertise focuses on recognizing and assessing compliance risks for broker-dealers, registered investment advisers (RIA), and private funds. Bao provides clients with compliance solutions, including annual compliance program reviews, anti-money laundering (AML) independent testing, supervisory control risk assessments, fraud investigations, and customized compliance or product reviews. He has also assisted clients with FINRA/SEC/state registration, and exams and investigations.

5f. IA/PF - Anti-Money Laundering: Understanding Financial Crimes (Intermediate - OPEN)