This audio presentation provides a brief overview of the 2019 sector specific risk assessment for Securities Investments Businesses (SIB) Excluded Persons. It covers the purpose and background of the assessment, including the methodology used, the definition of a SIB Excluded Person, a summary of inherent risks, the sector’s overall risk rating and a helpful guide to allow SIB Excluded Persons to enhance their own practices in managing and mitigating ML/TF risks.