The February 2017 Compliance Insights
(1) State Regulators and Supervisors Issue BSA/AML Self-Assessment Tool
: State regulators and the Conference of State Bank Supervisors (CSBS) released a Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Self-Assessment Tool to help financial institutions self-evaluate and better manage money laundering risk.
(2) FINRA Releases 2017 Examination Priorities Letter
: This letter identifies known and potential risks facing broker-dealers, investor relationship management and market operations.