ANTI-MONEY LAUNDERING INDEPENDENT TESTING

Although there is no AML requirement for IAs currently, ARG aims to offer a proactive approach for your adviser. If you have an AMLCP as part of your Policies and Procedures, we can conduct an AML review to ensure policies are in place for if, and when, the SEC implements an AML requirement. We are currently working with several advisers who are creating, implementing and testing their AML program for future compliance.