Overview

This book is a must for all AML/KYC and other financial professionals who work in the global securities industry! This is an extraordinary industry that facilitates and supports the investment of $trillions of capital involving securities and currencies worldwide. Topics include: investment management, types of securities, mutual funds, trading, securities processing, global custody, clearing corporations, depositories, foreign exchange, international cash management, collateral loans, securities lending, accounting, and related asset servicing. All the complexities involved create serious challenges for all participants in the global securities industry. Among these, is the need for technical education that provides the critical facts and information spanning the world's financial markets. That is what this book hopes to satisfy through practical, hands-on technical information describing how this multi-trillion dollar global industry is structured and operates. As one of the leading authorities in the field, Mr. Walsh assists banks with AML/KYC auditing, investigations, compliance assessments, remediations and related AML/KYC technical training. His office is located in New York; he may be reached by email at: walsh516@aol.com.

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9781519281449

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Mr. Walsh is widely-regarded as a subject-matter-expert in international banking and the financial services industry. He is a CAMs certified Anti-money Laundering (AML)/Know-Your-Customer (KYC) specialist with over 30 years international, hands-on experience. Early in his career, Mr. Walsh learned the business of banking, securities and compliance first-hand by working from the bottom up at the New York Stock Exchange, the Depository Trust Company, NSCC, and some of the largest banks in the world. Later, after serving as a Vice President at leading money-center banks managing global securities business, Mr. Walsh worked on consulting projects involving AML/KYC investigations for AML transaction monitoring, AML Lookbacks, SARs writing, Currency Transaction Reports, KYC remediations, AML/KYC best practices and AML/KYC technical training. Mr. Walsh established a MBA accredited program at New York University and Wayne State University on International Capital Markets, and conducted training for FBI Special Agents, Federal Reserve Bank of New York Examiners, SWIFT global managers, and compliance staff at large and small banks. Mr. Walsh has authored several popular financial industry texts including: AML Compliance Handbook; Auditing and Controls for AML Compliance; AML Transaction Monitoring; Audit and Controls for AML Compliance; Currency Transaction Reporting (CTRs); ERISA Pension Fund Compliance; SEC Compliance for Mutual Funds; Foreign Exchange; Global Custody Services; The Global Securities Industry; Sub-custodian Network Management; Securities Lending; International Capital Markets; Investment Banking; and, Types of Securities. As one of the leading authorities in the field, Mr. Walsh assists banks with AML/KYC auditing, investigations, compliance assessments, remediations and related AML/KYC technical training. His office is located in New York; he may be reached by email at: walsh516@aol.com.

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