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"Failing to prepare is preparing to fail" - Benjamin Franklin

Discover how to tackle the latest regulations, including Anti-Money Laundering (AML) and Regulation S-P. Know compliance requirements and deadlines, protect your organization to mitigate risk, and streamline your processes. Don’t miss this important session!

Key Topics

Learn from Confluence Compliance Services experts as they explore:

• Regulatory Updates: An overview of AML and Regulation S-P requirements
• Compliance Strategies:
  • Regulation S-P: Practical steps for safeguarding consumer information
  • AML for Investment Advisors: Scope, obligations, and compliance next steps
• Live Q&A Session: Get answers from Confluence experts on pressing compliance questions

Key Insights

Regulation S-P:

• Enhanced protections for consumer financial data
• Incident response programs for timely notifications and unauthorized access
• Compliance deadlines: Large firms by December 3, 2025; smaller firms by June 3, 2026

FinCEN AML for Investment Advisor Requirements:

• Risk-based AML/CFT programs tailored to investment advisers
• Reporting suspicious transactions via SARs and maintaining compliance records
• New requirements effective January 1, 2026

Presenters

Kyrstin Ritsema, IACCP® Executive Director – Compliance Services Confluence	Doug Preveza Senior Compliance Consultant Confluence

Why You Should Watch

The regulatory environment is rapidly changing, impacting financial entities such as investment advisers and broker-dealers. Gain practical insights to confidently meet deadlines and implement policies.