AML/CFT General Principles

This presentation covers AML/CFT Program principles, meeting annual training requirements. Topics include customer identification, suspicious activity reporting, post-transaction monitoring, red flags for money laundering, beneficial ownership rule, and regulatory changes.
Wednesday, September 17, 2025
Time: 10:00 AM PDT | 01:00 PM EDT
Duration: 70 Minutes
IMG James DeFrantz
Id: 90640
Live
Session
$119.00
Single Attendee
$249.00
Group Attendees
Recorded
Session
$159.00
Single Attendee
$359.00
Group Attendees
Combo
Live+Recorded
$249.00
Single Attendee
$549.00
Group Attendees

Overview:

This presentation will cover the general principles for an AML/CFT Program.  It will meet the annual training requirement for annual training.

Why you should Attend:

This presentation will meet the regulatory requirement for annual training for all staff, senior management, and the Board. 

Areas Covered in the Session:

  • The Five Pillers 
  • Customer Identification Program
  • Know Your Customer 
  • Suspicious Activity Reporting 
  • Post-Transaction Monitoring 
  • Red-Flags for Money Laundering 
  • The Beneficial Ownership Rule 
  • Regulatory Changes 

Who Will Benefit:

  • All Management and Staff

Speaker Profile

James DeFrantz CRCM, CAMS, J.D. has 30 years of experience in financial service regulatory compliance. He has worked with money service businesses in the United States and internationally, including consulting with money remitters, fintech lenders, and foreign exchange firms. He is a specialist in compliance in consumer and real estate lending; BSA; CRA; Fair Lending; Consumer Operations; Non- Non-Deposit Investment Products; Note Department Operations; Assessment of ALL and Credit Approval Processes. He has served as a Senior Compliance Examiner at the Federal Reserve Bank in San Francisco; as an Analytical Manager at the Office of Thrift Supervision; and as a Commissioned National Bank Examiner at the Office of the Comptroller of the Currency (OCC). He has a Certificate from the Pacific Coast Banking School of Bank Management, a Juris Doctor from the University of San Francisco with a concentration in banking and finance, and a BA from Dartmouth College. He is a Certified Regulatory Compliance Management and Certified Anti-Money Laundering Specialist.