Show navigation

Available in:

Audio & Reference Manual
MP3 Download

BSA/AML Beneficial Ownership Rules

Gain a better understanding of FinCEN's CDD Rule that amends existing BSA regulations.It has been one year since covered entities have been required to comply with the requirements the Financial Crimes Enforcement Network's (FinCEN) customer due diligence rule (CDD Rule). As covered entities have implemented the CDD rule over the last year, questions have arisen in real time as to the CDD Rule's scope, application, and exclusions. This topic is intended to provide covered entities and their customers with an overview of the CDD Rule's requirements, best practices, and insight into what practitioners have seen when implementing the rule. In addition, it provides an overview of what regulators may potentially review when examining covered entities for compliance with the rule.
Purchase Options

More Program Information

Why Lorman?

Over 32 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

Overview of Customer Due Diligence Rule
  • Rule Requirements
  • Implementation
  • Practical Considerations
What We've Seen in the Year Since Mandatory Compliance
  • Covered Entity Considerations
  • Legal Entity Customer Considerations
What We Expect From Regulators
  • Risk Profiles
  • Reliance on Exceptions From Rule Requirements
Purchase Options

More Program Information

Why Lorman?

Over 32 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

Audio & Reference Manual

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

MP3 Download

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

Purchase Options

More Program Information

Why Lorman?

Over 32 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Faculty

Ignacio A. Sandoval

Ignacio A. Sandoval

Morgan, Lewis & Bockius LLP

  • Partner in the Washington D.C. office of Morgan, Lewis & Bockius LLP
  • Practice emphasizes all aspects of broker-dealers and securities intermediaries regulatory and compliance obligations, including antimoney laundering requirements, trading activities, financial responsibility and recordkeeping, margin and other requirements
  • Conducts regular seminars and workshops on numerous issues related to broker-dealer and securities intermediary compliance with federal and state law requirements, and self-regulatory organization rules
  • Author of several publications related to the areas of broker-dealer and securities intermediary regulation, including antimoney laundering requirements, trading activities, financial responsibility and recordkeeping, margin and other requirements
  • J.D. degree, American University, Washington College of Law; B.A. degree, University of California, Los Angeles
  • Can be contacted at [email protected] or 202-739-5201
Purchase Options

More Program Information

Why Lorman?

Over 32 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

All of your training, right here at Lorman.

Pay once and get a full year of unlimited training in any format, any time!

  • Live Webinars
  • OnDemand Webinars
  • MP3 Downloads
  • Course Manuals
  • Audio Recordings*
  • Executive Reports
  • White Papers and Articles
  • Sponsored Live Webinars

Additional benefits include:

  • State Specific Credit Tracker
  • Members Only Newsletter
  • All-Access Pass Course Concierge

* For audio recordings you only pay shipping

Questions? Call 877-296-2169 to speak with a real person.

Sign Up Today
With This Course

Access to all training products for one year
$699/year

Unlimited Lorman Training

With the All-Access Pass there is no guessing what you will need for your yearly training budget. $699 will cover all of your training needs for an entire year!

Easy Registrations

Once you purchase your All-Access Pass you will never be any further than one-click away from attending any Lorman training course.

Invest in Yourself

You haven't gotten to where you are professionally by luck alone; it's taken a lot of hard work and training. Invest in yourself with the All-Access Pass.

Product ID: 405615
Published 2019
Purchase Options

Available in Multiple Formats

Purchase this course and learn on your schedule!