Tenn. Comp. R. & Regs. 1350-03-.08 - AML AND REGULATORY COMPLIANCE STANDARDS

(1) Each Licensee shall submit to the Council for approval a description of its AML and regulatory compliance programs, policies, and procedures.

(2) Each Licensee shall notify the Council Immediately upon discovery and knowledge of any violation or non-compliance with the AML compliance program, policies, and procedures; AML laws or regulations; any regulatory compliance program, policies, and procedures; or any law or regulation governing the Licensee in any jurisdiction, including the State of Tennessee.

Notes

Tenn. Comp. R. & Regs. 1350-03-.08

Emergency rules filed December 22, 2021 to become effective January 1, 2022; effective through June 30, 2022. New rules filed March 22, 2022; effective 6/20/2022.

Authority: T.C.A. §§ 4-49-106, 4-49-110, 4-49-115, and 4-49-125.