The International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001 (Title III), which was signed into law on October 26, 2001, imposes significant anti-money laundering requirements on all "financial institutions," as defined under the Bank Secrecy Act ("BSA"), including FCMs and IBs. CPOs and CTAs are also defined as "financial institutions" under the BSA; however, the Secretary of Treasury has deferred applications of these requirements for an unspecified period.
Since April 24, 2002, all NFA Member FCMs and IBs have been required to have an anti-money laundering (AML) compliance program in place. NFA has provided ongoing guidance to our Members as they developed and implemented their programs. The table below provides links to the rules and regulations governing AML compliance as well as resources and other tools to assist Members in meeting their AML requirements.
Questions concerning a Member's AML program can be directed to Valerie O'Malley, Director, at (312) 781-1290 (firstname.lastname@example.org) or Anibal Carlo, Manager, at (312) 781-7899 (email@example.com).
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NFA Members can file many of their required documents electronically.