Webinars 07 Jul 2016

AML best practices for Investment Advisers and Broker/ Dealers

Join Compliance Reporter and NRS to discuss AML best practices for Investment Advisers and Broker/ Dealers

Venue: Online

Thursday, July 7

2pm EST

In Compliance Reporter’s upcoming webinar, NRS’ Jennifer Sullivan and John M. Van Der Wal will discuss AML best practices for Investment Advisers and Broker/ Dealers

Discussion topics include:

– What should your AML program encompass?
– AML for IAs, current best practices and future requirements
– Common deficiencies to consider

If you would like to join the webinar, please register here

Moderator: Ben Maiden, managing editor, Compliance Reporter
Jennifer Sullivan, consultant, NRS
John M. Van Der Wal,  ‎president of compliance advisory services, LLC, NRS

Jennifer Sullivan joined NRS in 1997 as a member of NRS’ IT Department, where she was involved in product development, working with IA and BD clients to create customized compliance solutions and deliver reliable ongoing support. Prior to being promoted to the consulting department in 2007, Jennifer had functioned as NRS’ Product Support Manager for three years.

John M. Van Der Wal, Consulting Services, brings over 20 years of compliance and industry related experience to his position at NRS.  Prior to joining NRS, John was the President of Compliance Advisory Services, LLC, providing compliance consulting services to SEC and State registered investment advisors and broker-dealers for 12 years.  He has worked in a variety of securities and investment related environments, including financial services, asset management, brokerage and consulting.  John also spent 3 years with FINRA, conducting reviews and oversight of member firms from the San Francisco District Office.

In association with NRS_2014_circleR

Related Events

Inquire About Membership

Fund Intelligence membership gives your firm access to an unique analysis and networking platform providing actionable data, insights and contacts that enable you to raise capital, comply with regulation and benchmark against peers.

  • Five specialist networks for the latest industry trends
  • Direct access to actionable industry intelligence
  • Benchmarking data for flows, performance and product development
  • Peer group and allocator/advisor networking opportunities
  • Compliance data and tracking tools
  • Access to networking events and educational webinars
  • Access to our team of dedicated analysts and account handlers