Are you prepared for the SEC’s latest requirements on Anti-Money Laundering (AML) and Counter-Terrorism Financing (CFT)? This critical webinar, featuring compliance attorney Michelle Atlas-Quinn, will guide financial advisors through the new AML rules coming into effect on January 1, 2026. These rules mandate registered investment advisors (RIAs) and certain exempt reporting advisors (ERAs) to establish comprehensive AML programs. Attendees will learn how to navigate these regulations while safeguarding their businesses from potential penalties. This session will provide actionable insights into creating a robust, risk-based AML program tailored to your firm’s unique operations. Advisors will also learn to meet new customer due diligence requirements, effectively monitor transactions, and report suspicious activities to FinCEN. Don’t miss this opportunity to stay ahead of regulatory expectations and protect your clients and firm.
Learning Objectives:
1. Understand the scope and impact of the new SEC AML rule on RIAs and ERAs.
2. Learn how to establish a risk-based AML/CFT program tailored to your client base.
3. Master customer due diligence and beneficial ownership identification.
4. Gain strategies for monitoring, reporting, and maintaining compliance records.
5. Explore best practices for responding to government AML investigations.
This webinar is essential for advisors looking to strengthen compliance while maintaining operational efficiency.