How secure are your anti-money laundering (AML) procedures (Rule 3011)?

Anti-money laundering compliance is one of the most tightly observed compliance areas within broker/dealers and financial institutions.

Conducting good independent AML program audits and testing will help you to identify problems before examiners. Working in a proactive manner can prevent problems from developing, ultimately saving your firm substantial amounts of money.

Increased anti-money laundering security procedures required for every broker dealer to implement over the past few years have added to the complexity and the costs of compliance for many financial organizations.

Taurus Compliance Consulting, LLC is equipped to partner with firms in order to facilitate their compliance with Anti-Money Laundering compliance regulations via:

• Facilitating Anti-Money Laundering audits
• AML program training
• Ongoing AML program assessment
• AML procedure drafting
• AML report filing
• Customer verification and defining identification requirements

Our independent inspection process can ensure that your organization is fulfilling regulatory and internal compliance requirements. In a constantly changing compliance environment, Taurus partners with companies like you to develop, implement and regulate AML compliance procedures.

For more information on how to protect your organization or how to implement AML procedures, contact Taurus on 1-800-388-8822.