Broker/Dealer Compliance

Exchange Analytics helps broker/dealers meet their regulatory training requirements in the following areas:

Anti-Money Laundering (AML) Training

The USA Patriot Act of 2001 requires FINRA broker/dealer firms to have anti-money laundering (AML) compliance programs in place that, among other things, provide for annual training for appropriate employees.

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Identity Theft Prevention Training

SEC Regulation S-ID along with CFTC Subpart C, enacted in 2013, require entities that qualify as either “financial institutions” or “creditors” to adopt programs to identity and address the risk of identity theft. Covered entities include SEC-regulated broker-dealers, investment advisers and certain investment companies; and CFTC-regulated entities that hold transaction accounts including futures commission merchants, retail foreign exchange dealers, commodity trading advisors, commodity pool operators, introducing brokers, swap dealers or major swap participants.

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