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AML Compliance Fundamentals
Taschenbuch von M. L. Humphrey
Sprache: Englisch

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Beschreibung
In this book M.L. Humphrey draws upon twenty years of experience with regulatory compliance, and AML compliance in particular, as both a regulator of broker-dealers and a consultant to some of the largest financial institutions in the world, to give an overview of the main AML compliance requirements, with a particular focus on customer identification and suspicious activity monitoring and reporting.

This book is meant to be a high-level overview of AML compliance requirements, which means it focuses on the general concepts behind the regulations as opposed to any specific industry- or country-level regulations or any specific suspicious activity fact patterns. But the book should give a strong foundation for understanding those industry- or country-level requirements.
In this book M.L. Humphrey draws upon twenty years of experience with regulatory compliance, and AML compliance in particular, as both a regulator of broker-dealers and a consultant to some of the largest financial institutions in the world, to give an overview of the main AML compliance requirements, with a particular focus on customer identification and suspicious activity monitoring and reporting.

This book is meant to be a high-level overview of AML compliance requirements, which means it focuses on the general concepts behind the regulations as opposed to any specific industry- or country-level regulations or any specific suspicious activity fact patterns. But the book should give a strong foundation for understanding those industry- or country-level requirements.
Über den Autor
M.L. (Muffie) Humphrey is a former stockbroker with degrees in Economics, Anthropology, and Psychology from Stanford and an MBA from Wharton who spent close to twenty years as a regulator and consultant in the financial services industry.
Details
Erscheinungsjahr: 2022
Fachbereich: Allgemeines
Genre: Wirtschaft
Rubrik: Recht & Wirtschaft
Medium: Taschenbuch
Seiten: 118
Reihe: Regulatory Compliance Essentials
ISBN-13: 9781637440728
ISBN-10: 1637440723
Sprache: Englisch
Ausstattung / Beilage: Paperback
Einband: Kartoniert / Broschiert
Autor: Humphrey, M. L.
Hersteller: M.L. Humphrey
Regulatory Compliance Essentials
Maße: 203 x 133 x 7 mm
Von/Mit: M. L. Humphrey
Erscheinungsdatum: 11.10.2022
Gewicht: 0,143 kg
preigu-id: 125862797
Über den Autor
M.L. (Muffie) Humphrey is a former stockbroker with degrees in Economics, Anthropology, and Psychology from Stanford and an MBA from Wharton who spent close to twenty years as a regulator and consultant in the financial services industry.
Details
Erscheinungsjahr: 2022
Fachbereich: Allgemeines
Genre: Wirtschaft
Rubrik: Recht & Wirtschaft
Medium: Taschenbuch
Seiten: 118
Reihe: Regulatory Compliance Essentials
ISBN-13: 9781637440728
ISBN-10: 1637440723
Sprache: Englisch
Ausstattung / Beilage: Paperback
Einband: Kartoniert / Broschiert
Autor: Humphrey, M. L.
Hersteller: M.L. Humphrey
Regulatory Compliance Essentials
Maße: 203 x 133 x 7 mm
Von/Mit: M. L. Humphrey
Erscheinungsdatum: 11.10.2022
Gewicht: 0,143 kg
preigu-id: 125862797
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