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MGL
AML Compliance Audit Tool
Designed to help firms meet FINRA's requirements
to conduct an annual independent testing of their AML program,
in accordance with of NASD Conduct Rule 3011. Our self-assessment
version is designed to guide your staff through an independent
self-assessment of your firm's AML program, including issuance
of a final report summarizing the testing results. From start
to finish!
MGL AML Compliance Audit Tool -
Self-Assessment version - $500.00. |
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Not sure
your staff is ready to conduct a self-assessment of your firm's
AML program on their own? Not a problem, MGL's professional
staff is available to review your staff's work papers and make
recommendations to strengthen your program (professional staff
time limited to 2 hours of consultation).
MGL AML Compliance Audit Tool - Professional Support version
- $875.00. |
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Want
more professional involvement in the review of your firm's AML
program by MGL professional staff? Not a problem either. MGL
professional staff are available to conduct an on-site, independent
review of your AML program and AML compliance systems. For more
information regarding our on-site AML and Compliance Audit programs,
please contact Debra
M. Schaps, VP Broker/Dealer Operations.
Don't be caught unprepared! NASD Conduct Rule 3011 requires
all member firms to not only develop and implement an AML program,
but to also conduct annual independent testing of the system
for compliance. Such testing is to be conducted by independent
member personnel or by a qualified outside party. FINRA has
also recommended that, after a test is completed, the internal
testing personnel or qualified outside party should report its
findings to senior management or to an internal audit committee,
as appropriate. The firm should ensure that there are procedures
for implementation of any of the internal testing personnel's
or third party's recommendations and corrective or disciplinary
action, as the case may warrant. |
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Visit
our website! |
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Learn
more about MGL's new
AML Compliance Audit Tool. |
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Purchase
MGL AML Compliance Audit Tool Today. |
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For questions regarding these products, please contact:
Debra
M. Schaps, Vice President Broker/Dealer Division 281-863-6107
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