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3/December 2
This NDA helps firms establish standard guidelines for ensuring that nonpublic personal information ("NPI") within the meaning of applicable privacy laws and regulations relating to customers of the firm or its affiliates is properly protected
The rules require firms to establish
Members also downloaded Broker-Dealer Quarterly Compliance Review Checklist and Broker-Dealer Monthly CRD Forms & Filings Review Checklist
In accordance with SEC Rule 17f-2 (Fingerprinting of securities industry personnel)
BD- Anti-Money Laundering (AML) Preliminary Audit Questionnaire NY Office of the Attorney General Library 3/December 2The Anti Money Laundering (AML) Preliminary Audit Questionnaire is typically submitted to broker dealers to complete in advance of their upcoming AML independent testing requirements in accordance with FINRA Rule 3110. All answers provided by the broker dealer allow for the reviewer to further focus the testing processes and better analyze points of risk related to the AML independent test. Version Update: V. 3 October 14, 2017 Total Page Count: 6
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