"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!

Webinar Details

Be Prepared: Navigating AML, Regulation S-P, and more!

April 30, 2025 at 11 am ET to Noon

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 Attend

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.

Register Today

Register to stay ahead of the curve. We will send you the on-demand recording if you miss the webinar.