AML Auditing - Understanding Clearing Corps and Depositories

ISBN-13: 9781539593775 / Angielski / Miękka / 2016 / 166 str.

Bob Walsh

Opis

This book is a must for all AML/KYC audit and compliance staff whose responsibilities encompass clearing corporations and securities depositories This book serves as a practical guide for Anti-Money Laundering audit and compliance staff by describing the function and operation of clearing corporations and securities depositories around the world. In addition, this book addresses global custody services, the global securities industry, the complex world of Anti-money Laundering along with related audit and compliance concerns. The author, Bob Walsh, is widely regarded as one of the leading authorities in this field. He is convinced that providing AML/KYC audit and compliance staff with a better understanding of how clearing corporations and securities depositories function can dramatically improve compliance and audit results. This book is one of a series of AML audit guides written by Bob Walsh describing the functions and inner workings of key financial services. The information presented was compiled from his decades of in-depth, hands-on experience in the banking and financial services industry. This includes working with domestic and international banks, Federal Bureau of Investigation, Federal Reserve Bank of New York, and with leading AML/KYC consulting agencies. Mr. Walsh continues to advise banks on AML/KYC compliance and technical training; his office is located in New York; he can be contacted by email at: walsh516@aol.com.

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