AML Compliance Fundamentals

Regulatory Compliance Essentials

In this book M.L. Humphrey draws upon 20 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.

PLEASE NOTE: When you purchase this title, the accompanying PDF will be available in your Audible Library along with the audio.

©2022 M.L. Humphrey (P)2022 M.L. Humphrey

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Reader/author provides more of a bias high overview. Doesn’t have a good reader /storytelling voice.