Compliance Advisers has been conducting AML Testing for Broker Dealers since the inception of the rule. We have developed our own proprietary comprehensive independent testing model to effectively test your firm’s AML compliance program and provide you with guidance to achieve maximum regulatory effectiveness.
We will evaluate the overall integrity and effectiveness of your firm’s AML compliance program as well as specific aspects of your program.
You will receive a comprehensive preliminary report of our findings along with recommendations and when implemented, you will receive a final report of compliance for your records.
Call today to schedule your 2013 AML Testing.