Starting a Broker Dealer
Changing Ownership
Supervisory Procedures
Home/Branch Audits
FinOp Services
Bookkeeping
Continuing Education
Compliance Training
Anti-Money Laundering
Compliance Q&A
Changing Product Mix
Special Investigations
State Registrations
Expert Testimony


Back to Broker Dealer


 



Anti-Money Laundering

With the enactment of the USA PATRIOT Act, financial institutions are required to establish and enforce Anti-Money Laundering supervisory procedures, surveillance programs, training, and independent audit reviews. InvestmentCare provides the following Anti-Money Laundering services:

Written Supervisory Procedures

InvestmentCare can provide your firm with complete and up to date Anti-Money Laundering written supervisory procedures. InvestmentCare has written Anti-Money Laundering procedures for over 300 broker dealers and investment advisers. Our procedures are continuously reviewed by regulatory agencies to ensure compliance.

Surveillance Program Design

InvestmentCare can assist your firm in designing an Anti-Money Laundering surveillance program to ensure that your firm is in compliance with all regulatory rules and regulations.

Anti-Money Laundering Training

InvestmentCare can provide your personnel with the required Anti-Money Laundering training. InvestmentCare can either come to your office and conduct an Anti-Money Laundering seminar or provide your personnel with an Anti-Money Laundering Workbook that includes lessons describing what Anti Money Laundering is, what financial institutions are required to do to prevent money laundering, what the firm's reporting requirements are for money laundering or large currency transactions, and how to detect money laundering.

Independent Audit Review

InvestmentCare can conduct an independent audit review of your firm's Anti-Money Laundering compliance systems as required by the USA PATRIOT Act. InvestmentCare will conduct a thorough review of all of your firm's Anti-Money Laundering systems and training and provide your firm with a written report of all of our findings.

Contact InvestmentCare Consulting Group at (818) 386-6900 and find our how our staff of former securities regulators can put an Anti-Money Laundering Compliance Program together for your firm.


Copyright 2000 InvestmentCare Consulting Group, Inc. All rights reserved.
Use of this Web site constitutes acceptance of the InvestmentCare Consulting Group
user agreement