On 2 November 2015, Assistant Attorney General Leslie R. Caldwell spoke at a Securities Industry and Financial Markets Association seminar. She emphasised that effective compliance programs are critical because financial institutions are the first line of defence against money laundering and other financial crimes. In highlighting anti-money laundering and sanctions compliance, she emphasised effective risk-based documentation and being cognisant of US sanctions obligations.
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US Assistant Attorney General Speaks on Sanctions and OFAC Compliance at SIFMA Conference
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