Your Anti-Money Laundering Compliance Program … have you completed your annual independent test?
As part of a firm’s Anti-Money Laundering (AML) Compliance Program, firms are required to have their AML monitoring process tested annually by an independent 3rd party. Cucharale Consulting Group (CCG) is here to help. With yearend right around the corner, it is a perfect time to make sure you have this requirement covered. Many firms schedule this testing as part of their year end processing in either the 4th quarter or the 1st quarter of the upcoming year. Visit FINRA’s AML section on their website or more information regarding their Anti-Laundering Program requirements. If you need to schedule your annual independent AML test or just have questions regarding your AML compliance program, give CCG a call or visit our website at www.cucharalegroup.com for more information about the services we provide.