This webinar will discuss how to most effectively and efficiently comply with the complex maze of FinCEN rules and regulations for MSBs (Money Service Business). Compliance does not have to be onerous and time-consuming. Discover tools and techniques that can simplify your processes while minimizing regulatory scrutiny.
Without an effective and efficient compliance regime, MSBs risk facing regulatory fines, penalties, suspensions, and harm to their brand and professional reputations.
FinCEN is raising regulatory expectations across the board as Anti-Money Laundering (AML) risks take on increased importance for regulators. FinCEN is awarding greater penalties for MSBs that fail to demonstrate a robust compliance and risk management program.
Given the constantly evolving FinCEN rules and regulations, this webinar will discuss how to most cost effectively and cost efficiently comply with the complex maze of FinCEN rules and regulations for MSBs (Money Service Business). Compliance does not have to be onerous and time-consuming. Discover tools and techniques that can simplify your processes while minimizing regulatory scrutiny.
The attendee will learn the following:
Managing Director, Black Swan Diagnostics Inc
Jack is a seasoned securities law / banking law professional in the securities industry. Through Black Swan Diagnostics Inc., he advises banks, broker-dealers, fixed income dealers, MSBs, ATS, regulators, trust and insurance companies, Portfolio Managers, Exempt Market Dealers, Investment Fund Managers, mutual fund dealers, energy companies, fintech companies, robo advisers, software providers, blockchain companies, cannabis platforms and issuers. He has registered various entities with the SEC, OSC/IIROC, spanning PM/IFM/EMD licenses. He also provides ongoing and interim CCO/CAMLO regulatory compliance services to different types of regulated financial entities.
Jack is a graduate of the University of Toronto, Faculty of Law, Master of Laws (LLM) in Business Law, and completed both his General LLM and Securities Law LLM at Osgoode Hall Law School, York University. Jack is also a graduate of the University of Pennsylvania, The Wharton School of Business, in a graduate program in investment management. He completed his B.A. (Hon), Economics/Math, University of Toronto.
Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. TrainBanking would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange.
Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.
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