AML Webinar

Implications of FinCEN’s CDD Rule for Investment Advisers

Overview

SIFMA hosted a complimentary webinar on October 13, 2017 to discuss FinCEN’s customer due diligence (CDD) rule, which will become effective May 11, 2018. A panel of industry experts lead our discussion, which focused on:

  • Impact of the CDD rule on investment advisers and their customers, including the increased requirements for information and documentation to open and maintain accounts with financial institutions covered by the rule;
  • Requirements of the CDD rule and outstanding interpretive questions; and
  • Potential regulatory expectations related to the CDD rule.

SIFMA is pleased to offer the webinar slides to registered attendees.  To access the presentation, please enter your business email address and password associated with your SIFMA profile, which was used for registration.

Pricing

Member/Non-Member
Registration Rates Complimentary
Pricing
Member/Non-Member
Registration Rates $0

Programs

12:15pm – 1:30pm

Participants

Meg Zucker, Elizabeth “Paige” Baumann, Satish M. Kini

Moderator

Meg Zucker

Global Anti-Money Laundering head

RBC Capital Markets

Meg Zucker’s Biography

Panelists

Elizabeth “Paige” Baumann

Senior Vice President, Chief Anti-Money Laundering Officer

Fidelity Investments

Elizabeth “Paige” Baumann’s Biography