14 min listen
Encore | Overlapping Risks: Anti-Money Laundering and Cybersecurity
FromFINRA Unscripted
ratings:
Length:
29 minutes
Released:
Oct 19, 2021
Format:
Podcast episode
Description
Firm regulatory risks and priorities don't exist in a vacuum. And that is perhaps nowhere clearer than when it comes to a firm's anti-money laundering responsibilities. A firm's AML risks can overlap with any number of other priorities. On this episode, we're looking at the intersection of a firm's AML and cybersecurity risks. Joining us are Jason Foye, a director with FINRA's Anti-Money Laundering Investigative Unit, and Dave Kelley, a director with FINRA's Cybersecurity Specialist Program, both with FINRA’s National Cause and Financial Crimes Detection Program. Resources mentioned in this episode:Episode 60: Introducing Greg Ruppert and the NCFCEpisode 33: Money Laundering in the Securities IndustryEpisode 34: AML Priorities and Best Practices SWIFT: How Cyber Attackers ‘Cash Out’ Following Large-Scale HeistsFinCEN October 2020 Advisory on Ransomware FinCEN July 2020 Advisory on CybercrimeFinCEN October 2016 Advisory on Cyber EventsFINRA Cybersecurity ResourcesRegulatory Notice 20-32 on Fraudulent Options TradingRegulatory Notice 20-13 on Fraud During the Coronavirus Pandemic
Released:
Oct 19, 2021
Format:
Podcast episode
Titles in the series (100)
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