Anti – Money Laundering Audit   

Under the USA PATRIOT Act, all broker/dealers are required to annually review their anti-money laundering procedures to be certain they are meeting regulatory requirements and are working.

NRS Anti- Money Laundering Audit program will encompass, but not be limited to:

• Review and test the firm's AML Written Supervisory Policies and Procedures.
• Review the firm's overall AML Program to report any deficiencies.
• Review of client files with an emphasis on foreign clients and "know your customer" efforts.
• Review of all broker/dealer operating bank accounts and, if applicable, proprietary brokerage accounts.
• Review of Checks Received/Disbursed and Securities Received/Disbursed logs.
• Review and test of internal surveillance practices.
• NRS consultants will speak with key personnel to assess their AML requirement knowledge.
• Review the firm's plan for AML training for registered representatives.

Call 860-435-0200 now to set up your Anti-Money Laundering Audit.