Webinar on Anti-Money Laundering/Combating the Financing of Terrorism (AML/CFT)

July 22, 2022 SEC NOTICE TO : All Financing Companies, Lending Companies, Securities Brokers and Dealers, Investment Houses, Securities Underwriters, Government Securities Eligible Dealers, Investment Companies/Mutual Fund, Investment Company Advisers, Mutual Fund Distributors, Transfer Agents, and REIT Fund Managers SUBJECT : Webinar on Anti-Money Laundering/Combating the Financing of Terrorism (AML/CFT) The Commission invites the Compliance Officers (COs)/Associated Persons (APs) of SEC Covered Persons to a free webinar on 29 July 2022 (Friday) from 1:30pm to 4:00pm via Zoom . The following topics will be discussed during the event: Institutional Risk Assessment (IRA) and the AML/CFT Inherent Risk Data Form (AIRDF) Risk Based Approach to AML/CFT (RBA) and the AML/CFT Risk Rating System (ARRS) Money Laundering and Terrorist Financing Prevention Program (MTPP) Pre-registration to the webinar is required and is on a first-come, first-served basis. To register, please fill out the form through the following link: https://forms.gle/ZdufDFqzADsSsGjg8 Due to limited slots, only one (1) participant per corporation will be accepted to join the webinar. The SEC will implement a strict policy on non-admission of unregistered participants. Issued on July 22, 2022.