FinTech Law and Compliance
Fintech Law and Compliance is dedicated to helping financial services professionals navigate the complex regulatory landscape. Hosted by industry experts, the podcast covers a wide range of topics, including compliance strategies, risk management, and the latest legal developments affecting fintech companies. With a focus on clarity and actionable insights, the show aims to empower listeners to make informed decisions that align with both business goals and regulatory obligations. Whether you're a compliance officer, legal advisor, or fintech entrepreneur, Fintech Law and Compliance provides the knowledge you need to thrive in a highly regulated industry.
Episodes
Episode Summary: In this episode of Fintech Law and Compliance, host Michelle Rotella is joined by Charles A. Christofilis to delve into the critical aspects of Anti-Money Laundering (AML) responsibilities for broker dealers. They explore why AML and sanctions compliance is more crucial than ever, especially in light of global issues like elder financial abuse and geopolitical tensions. Charles outlines the essential components of ...
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