Events | 05-05-22
Bates Compliance’s Rhonda Davis and Hank Sanchez to Speak at FMA’s 2022 Securities Compliance Virtual Seminar on “Crypto and Digital Assets - AML and BSA/OFAC Fraud Implications.”
Bates Compliance Managing Directors Rhonda Davis and Hank Sanchez (pictured) will be speaking at the Financial Market Association's 2022 Securities Compliance Virtual Seminar, May 5-6, 2022. This 2-day virtual event focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers.
Rhonda and Hank will be on Friday's panel: Crypto and Digital Assets - AML and BSA/OFAC Fraud Implications. The speakers will address topics including the SEC proposal re: “communication protocol systems,” FinCEN rulemaking and KYC/CIP for cryptocurrency platforms that qualify as “financial institutions” under BSA , and Cryptocurrency-based funds 1933 Act vs. 1940 Act protections.
CLE credit is available.
FMA is a non-profit 501(c)(6) educational association dedicated to providing the financial services industry with quality capital markets education, including: legislative and regulatory updates; securities dealer and public finance compliance; trading risk management; retail and institutional sales compliance; and fiduciary compliance.