ROUNDTABLE NEWS - SER Member Colleen Diles moderated an informative webcast titled, "It's Not Just AML" on Anti-Money Laundering with members Ross Delston, David MacNair, and Catherine Mustico on April 18th. They covered a range of topics including AML pillars for broker-dealers and investment advisors, financial crimes, and the current regulatory environment. The session offered insights into the differences between BDs and IAs, and our expert's experiences working on customer, BD/IA, and regulatory matters.
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