Spotlight on AML in the US


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Join AIMA and Sudrania for this AML Spotlight session on the U.S. where speakers will review the latest developments impacting the fund industry, including a recent proposal on beneficial ownership disclosure and an initiative by U.S. Senators requesting Treasury to impose AML and SARs requirements on investment advisers. The webinar will also provide an overview of the U.S. sanctions framework and the impact of the Ukraine war on the industry. Finally, the webinar will also discuss best practices to consider when designing an AML program and highlight key actions to consider.

Topics include:


  • Regulations in the USA and its impacts
  • FINCEN Beneficial Owner rulemaking proposal
  • US Senators proposals on Investment Advisers

Sanctions/SDN lists

  • OFAC/OFSI/Others
  • Accessibility
  • Russia/Ukraine impacts

Best practices when designing a program

  • Risk-based approach
  • Document gathering
  • Public source verification
  • Database verification
  • Technology and hosted AML platforms
  • In-house vs out-source
  • Ultimate beneficial ownership look-through

Call to action

  • Customer Identification Program policies
  • Compliance officer naming
  • Audits

Justin Kam

Compliance Counsel, Sudrania Fund Services

Chris Meader

Executive Vice President - Risk and Compliance, Sudrania Fund Services

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